Broker-dealers operate in one of the most closely regulated areas of financial services, requiring legal and compliance leaders who can keep pace with evolving FINRA, SEC, and state requirements. BarkerGilmore’s executive recruiters for the broker-dealer industry connect you with General Counsel, Chief Compliance Officers, and legal executives who understand the intricacies of securities transactions, sales practices, and firm supervision.
Whether you operate a full-service brokerage, a specialized boutique, or an independent platform, we deliver leaders who protect your business, safeguard client trust, and enable strategic growth.
Why Broker-Dealers Choose BarkerGilmore
Broker-Dealer Regulatory Expertise — Our recruiters have direct experience in the legal and compliance challenges of retail, institutional, and hybrid broker-dealer models.
Elite Securities Law Talent Network — We maintain strong relationships with seasoned legal and compliance professionals experienced in FINRA exams, enforcement, and securities offerings.
Tailored to Firm Size & Structure — From regional broker-dealers to global financial institutions, our placements reflect each firm’s operational and regulatory profile.
Confidential, Consultative Search — We deliver every engagement with discretion, precision, and long-term alignment.
Our broker-dealer executive recruiters help you hire leaders who:
- Navigate SEC, FINRA, MSRB, and state securities regulations
- Oversee compliance programs for supervision, suitability, and sales practices
- Advise on securities offerings, underwriting, and distribution agreements
- Lead governance, ethics, and risk management programs
- Manage regulatory exams, investigations, and enforcement responses
We recruit for:
- Retail broker-dealers
- Institutional and investment banking broker-dealers
- Independent broker-dealer networks
- Hybrid broker-dealer/advisory firms
- Clearing and introducing firms
BarkerGilmore goes beyond executive search, offering coaching and advisory services to help broker-dealer legal leaders excel in high-stakes regulatory environments.
We provide:
- Strategic onboarding for new GCs and CCOs
- Leadership development for compliance and supervision teams
- Confidential peer counsel on enforcement trends, governance, and risk mitigation
For General Counsel: Legal Leadership That Protects and Enables Growth
General Counsel in broker-dealer firms must balance rigorous regulatory compliance with business objectives.
We assess GC candidates for:
- Deep understanding of securities laws, FINRA rules, and MSRB obligations
- Experience with supervision structures, product due diligence, and marketing compliance
- Ability to guide leadership through complex enforcement actions
- Strong communication with regulators, boards, and executive stakeholders
Partner with an Executive Recruiter for Broker-Dealer Industry You Can Trust
When compliance and client trust are at stake, you need legal and compliance leaders who deliver clarity, control, and confidence. BarkerGilmore’s broker-dealer executive search services provide the insight, network, and expertise to help your firm thrive in a competitive and regulated marketplace.
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