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Financial Regulatory Compliance Jobs (NOW HIRING)

Kestra Financial, Inc.

$140 - $230/hr

Kestra Financial seeks an experienced compliance leader to direct the Firm's Regulatory Compliance function. The Director, Regulatory Compliance leads regulatory examinations and inquiries, customer ...

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Financial Regulatory Compliance information

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$41K

$92.8K

$135K

How much do financial regulatory compliance jobs pay per year?

As of Sep 4, 2026, the average yearly pay for financial regulatory compliance in the United States is $92,819.00, according to ZipRecruiter salary data. Most workers in this role earn between $70,000.00 and $115,000.00 per year, depending on experience, location, and employer.

What are common challenges faced by financial regulatory compliance professionals, and how can they be addressed?

Professionals in Financial Regulatory Compliance often face the challenge of keeping up with frequently changing laws and regulations across multiple jurisdictions. Staying updated requires continuous learning and close collaboration with legal, audit, and business units to ensure compliance and minimize risk. Effective communication and adaptability are key, as is leveraging technology to monitor regulatory updates and automate compliance processes where possible. Most teams work in a cross-functional environment, regularly interacting with internal stakeholders to implement new controls and best practices.

What are the key skills and qualifications needed to thrive in financial regulatory compliance, and why are they important?

To thrive in Financial Regulatory Compliance, you need a deep understanding of financial regulations, risk management, and compliance frameworks, often supported by a degree in finance, law, or a related field. Familiarity with regulatory reporting systems, GRC (Governance, Risk, and Compliance) software, and certifications such as CAMS or CRCM is highly valued. Excellent analytical skills, attention to detail, and strong communication are crucial soft skills for interpreting complex rules and ensuring organizational adherence. These skills and qualifications are vital to prevent legal issues, maintain organizational integrity, and build trust with stakeholders and regulators.

What is the difference between Financial Regulatory Compliance vs Financial Risk Analyst?

AspectFinancial Regulatory ComplianceFinancial Risk Analyst
Primary FocusEnsuring adherence to financial laws and regulationsIdentifying and analyzing financial risks
CertificationsCAMLI, CRCM, or similar compliance certificationsCFA, FRM, or related risk management certifications
Work EnvironmentRegulatory agencies, banks, financial institutionsInvestment firms, banks, financial services companies
Key ResponsibilitiesMonitoring compliance, preparing reports, implementing policiesRisk assessment, data analysis, developing risk mitigation strategies

While both roles operate within the financial industry, Financial Regulatory Compliance focuses on adhering to laws and regulations, whereas Financial Risk Analysts evaluate potential financial risks to inform decision-making. Both roles require specialized certifications and often work in similar environments, but their core objectives differ significantly.

Is compliance in finance a good career?

Financial regulatory compliance is a stable and growing field that involves ensuring organizations adhere to laws and regulations. It requires knowledge of financial laws, attention to detail, and often involves certifications like CAMS or CRCM. The role offers opportunities for advancement and can be rewarding for those interested in finance and law.

Is regulatory compliance a good career?

Regulatory compliance is a stable and growing field within finance and other industries, with roles such as compliance officers and analysts responsible for ensuring organizations adhere to laws and regulations. It often requires knowledge of legal standards, attention to detail, and certifications like CAMS or CRCM, making it a valuable career for those interested in risk management and legal frameworks.

What is financial regulatory compliance?

Financial regulatory compliance involves ensuring that financial institutions and professionals adhere to laws, regulations, and standards set by government agencies and industry bodies. For a compliance officer in this field, understanding relevant regulations, conducting audits, and maintaining documentation are key responsibilities. Certifications like CAMS or CRCM can support compliance roles.
More about Financial Regulatory Compliance jobs

What cities are hiring for Financial Regulatory Compliance jobs?

Cities with the most Financial Regulatory Compliance job openings:

What states have the most Financial Regulatory Compliance jobs?

States with the most job openings for Financial Regulatory Compliance jobs include:

What job categories do people searching Financial Regulatory Compliance jobs look for?

The top searched job categories for Financial Regulatory Compliance jobs are:

Financial Regulatory Compliance jobs near you
Infographic showing various Financial Regulatory Compliance job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 83% Full Time, 12% Part Time, and 4% Contract. Highlights an 93% Physical, 2% Hybrid, and 5% Remote job distribution, with an average salary of $92,819 per year, or $44.6 per hour.

Financial Regulatory & Compliance Associate (Senior Level) - Dallas

Direct Counsel

Dallas, TX • On-site, Remote

$260K - $365K/yr

Full-time

Posted 10 days ago

Job description

Senior Financial Regulatory & Compliance Associate

Direct Counsel is representing a leading AmLaw 100 firm seeking a Senior Associate with 7+ years of financial services regulatory and compliance experience to join its Financial Regulatory & Compliance Practice. This is an excellent opportunity to advise sophisticated banking, fintech, payments, and financial services clients on complex regulatory matters.

Key Responsibilities
  • Advise banks, fintech companies, money services businesses, and virtual currency/payment platforms.
  • Counsel clients on licensing, chartering, new product development, M&A, bank partnership models, and third-party risk.
  • Advise on BSA/AML, BHCA, IBA, Reg Y, Reg K, CRA, Volcker Rule, capital/liquidity risk, and consumer protection regulations.
  • Represent clients before federal regulators, including the Federal Reserve, FDIC, OCC, FinCEN, and state authorities.
  • Handle regulatory enforcement matters as applicable.
Qualifications
  • 7+ years of financial services regulatory and compliance experience.
  • Strong experience advising banks, fintech, payments, or financial services companies.
  • Experience with federal and state financial regulators required.
  • Excellent legal research, writing, analytical, and communication skills.
  • Strong academic credentials and attention to detail.
  • Demonstrated ability to take significant responsibility and manage complex matters.
  • Must be admitted or eligible for admission in the applicable jurisdiction.
  • Spanish fluency is a plus, but not required.
Locations

Miami, FL | Los Angeles, CA | Atlanta, GA | Washington, D.C. | Dallas, TX | Chicago, IL | San Diego, CA | San Francisco, CA | New York, NY | Phoenix, AZ

Onsite | Full-Time

Compensation

$260,000–$365,000 annually, depending on experience and location, plus discretionary bonus and comprehensive benefits.