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Insurance Regulatory Compliance Jobs (NOW HIRING)

Hagerty

Regulatory Compliance Counsel

Charleston, WV · On-site +1

We're proud to be the world's largest insurer of collectible and enthusiast vehicles and are home ... As a Regulatory Compliance Counsel , you will serve as a trusted legal advisor within the ...

MCUL

Regulatory Compliance Specialist

Lansing, MI · Hybrid

POSITION SUMMARY The Regulatory Compliance Specialist supports MCUL's member credit unions by ... HSA and FSA options. You don't need health insurance? No problem! An opt-out credit will be ...

PGI Foods

Regulatory Compliance Manager

Lowell, MA

$105K - $125K/yr

Regulatory Compliance Manager | Food Manufacturing Lowell, MA $105,000-$125,000 Annually (DOE ... Medical, Dental, Vision & Life Insurance * Paid Time Off (PTO) * Employee Assistance Program (EAP)

MCUL

Regulatory Compliance Specialist

Lansing, MI · Hybrid

POSITION SUMMARY The Regulatory Compliance Specialist supports MCUL's member credit unions by ... HSA and FSA options. You don't need health insurance? No problem! An opt-out credit will be ...

RPM Living

Regulatory Compliance Specialist

Austin, TX · On-site

Legal, Risk, and Insurance supports the advancement of RPM's business objectives by strategically ... The Compliance Associate supports RPM Living's regulatory compliance program across property ...

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Blue Owl

Regulatory Compliance, Principal

Short Hills, NJ · On-site

$215K - $225K/yr

... and insurance companies differentiated alternative investment opportunities that aim to deliver ... The Blue Owl Compliance Department is seeking an experienced Principal for its Regulatory ...

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How much do insurance regulatory compliance jobs pay per year?

As of Aug 6, 2026, the average yearly pay for insurance 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 is insurance regulatory compliance?

An Insurance Regulatory Compliance job involves ensuring that an insurance company adheres to laws, regulations, and industry standards set by regulatory agencies. Professionals in this role monitor compliance, develop internal policies, conduct audits, and provide guidance to mitigate legal and financial risks. They also stay updated on changing regulations and work closely with legal and business teams to implement necessary adjustments. Their goal is to protect the organization from penalties, maintain ethical standards, and ensure fair treatment of policyholders.

What are the key skills and qualifications needed to thrive in insurance regulatory compliance?

To excel in Insurance Regulatory Compliance, a strong understanding of insurance laws, regulatory frameworks, and risk assessment, usually backed by a relevant degree such as in finance, business, or law, is essential. Familiarity with compliance management systems, regulatory tracking software, and certifications like Certified Regulatory Compliance Manager (CRCM) or Certified Insurance Compliance Professional (CICP) can be highly valuable. Attention to detail, analytical thinking, and strong communication skills are crucial soft skills that contribute to success. These competencies ensure accurate interpretation of evolving regulations, effective compliance processes, and the prevention of costly legal or reputational risks for the organization.

What are the typical daily responsibilities of someone working in insurance regulatory compliance?

Professionals in Insurance Regulatory Compliance typically monitor and interpret new and existing insurance regulations, ensuring company policies and procedures adhere to all legal requirements. They prepare compliance reports, conduct internal audits, and provide guidance or training to staff on regulatory changes. Collaboration is common with departments such as underwriting, legal, and risk management to address compliance gaps and develop solutions. This role requires staying up-to-date with industry standards and proactively managing compliance risks to support smooth business operations.

More about Insurance Regulatory Compliance jobs
What cities are hiring for Insurance Regulatory Compliance jobs? Cities with the most Insurance Regulatory Compliance job openings:
What are the most commonly searched types of Insurance Regulatory Compliance jobs? The most popular types of Insurance Regulatory Compliance jobs are:
What states have the most Insurance Regulatory Compliance jobs? States with the most job openings for Insurance Regulatory Compliance jobs include:
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Insurance Regulatory Compliance jobs near you
Infographic showing various Insurance Regulatory Compliance job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 74% Full Time, 20% Part Time, and 5% Contract. Highlights an 91% Physical, 1% Hybrid, and 8% Remote job distribution, with an average salary of $92,819 per year, or $44.6 per hour.

Regulatory Compliance Associate

Compliance Exchange Group

Smithtown, NY • On-site

$60K - $70K/yr

Full-time

Medical, Dental, Vision, Retirement, PTO

Re-posted 16 days ago

Job description

Benefits:
  • 401(k) matching
  • Bonus based on performance
  • Competitive salary
  • Dental insurance
  • Flexible schedule
  • Opportunity for advancement
  • Paid time off
  • Parental leave
  • Training & development
  • Vision insurance

Title: Regulatory Compliance Associate
Location: Smithtown, NY (In-Office)
Company: CXG ( )
CXG is seeking a Regulatory Compliance Associate to support broker-dealer and investment adviser regulatory filings, licensing applications, and corporate governance projects.
This position works directly with senior leadership and legal professionals to prepare regulatory submissions, coordinate licensing applications, manage compliance documentation, and support interactions with FINRA, the SEC, state regulators, and other industry stakeholders.
The ideal candidate has experience working within a broker-dealer, registered investment adviser, compliance consulting firm, or securities law practice and is interested in building expertise in financial services regulation and corporate transactions.
Preferred Experience
  • Experience working for a broker-dealer, investment adviser, compliance consulting firm, securities law firm, or financial services organization
  • Familiarity with FINRA, SEC, and state securities regulatory frameworks
  • Experience supporting regulatory filings, licensing applications, registrations, or corporate governance matters
  • Exposure to FINRA Continuing Membership Applications (CMAs), New Member Applications (NMAs), Form BD amendments, U4/U5 filings, or similar regulatory processes
  • Strong document drafting, project management, and organizational skills
  • Ability to manage multiple concurrent regulatory projects and deadlines

What You'll Do
  • Draft, review, and format regulatory filings and supporting documents
  • Assist in drafting corporate documents, including resolutions and related materials
  • Track application progress and maintain compliance timelines
  • Support internal legal and compliance teams
  • Organize and maintain documents in cloud-based systems
  • Communicate with clients and internal stakeholders on a daily basis
  • Work with in-house attorney's on legal tasks

Qualifications
  • Bachelor's degree
  • 3-5 years experience in legal, compliance, or similar field
  • Experience drafting corporate documents (resolutions, agreements, etc.) is a plus
  • Strong attention to detail and organizational skills
  • Excellent writing and document formatting skills (Microsoft Word proficiency required)
  • Ability to manage multiple projects simultaneously
  • Strong communication skills and comfort working with senior professionals

Tools
  • MS Office
  • OneDrive or similar cloud-based document systems

Why Join CXG
  • Clear path to grow into senior compliance & legal roles
  • Work closely with experienced leadership
  • Fast-paced, high-growth environment

Compensation & Benefits
  • Salary: $60,000 - $70,000 (based on experience)
  • Performance-based bonuses
  • PTO
  • Health, dental, and vision benefits

This is a full-time, in-office position based in Smithtown, NY (Monday-Friday, 40 hours per week).
This role is ideal for someone highly organized, detail-oriented, and interested in building a long-term career in financial services, compliance, and regulatory operations.
Compensation: $60,000.00 - $70,000.00 per year
About CXG
Compliance Exchange Group (CXG) supports broker-dealers and financial services firms as they navigate complex regulatory environments and build sustainable, compliant businesses. We specialize in broker-dealer consulting and Chief Compliance Officer outsourcing, providing end-to-end support across compliance and finance functions.
Our team includes experienced professionals serving in roles such as:
  • Chief Compliance Officers
  • FINOPs
  • Licensed Principals
  • Series 4 - Registered Options
  • Series 24 - General Securities
  • Series 79 - Investment Banking

CXG professionals bring deep, practical experience. Many have helped build broker-dealers from the ground up and have held leadership roles including CEO, CFO, CCO, FINOP, and board positions. This real-world background allows us to approach our work thoughtfully, pragmatically, and with a strong understanding of how firms grow.
We work with startups seeking FINRA approval as well as small- to mid-sized firms looking to scale responsibly. Our focus is on delivering solutions that are practical, collaborative, and built to last.
At CXG, we value professionalism, integrity, and clear communication - both with our clients and with one another. We are building a team of people who take pride in their work, support one another, and want to grow alongside the company.

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