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How much do regulatory compliance associate jobs pay per hour?

As of Jul 14, 2026, the average hourly pay for regulatory compliance associate in the United States is $35.41, according to ZipRecruiter salary data. Most workers in this role earn between $23.08 and $43.99 per hour, depending on experience, location, and employer.

What are the key skills and qualifications needed to thrive as a Regulatory Compliance Associate, and why are they important?

To thrive as a Regulatory Compliance Associate, you need a strong understanding of regulations and compliance standards, analytical abilities, and usually a bachelor's degree in law, business, or a related field. Familiarity with compliance management software, legal research tools, and industry-specific regulatory databases is often required. Attention to detail, critical thinking, and effective communication are crucial soft skills for interpreting complex regulations and collaborating across departments. These competencies ensure organizations remain compliant, avoid legal risks, and maintain operational integrity.

How does a Regulatory Compliance Associate typically collaborate with other departments within an organization?

As a Regulatory Compliance Associate, you'll frequently work cross-functionally with departments such as Legal, Operations, Risk Management, and Internal Audit. Collaboration often involves reviewing new policies, providing compliance guidance on business initiatives, and supporting audits or regulatory filings. Regular communication ensures that compliance requirements are integrated into everyday business processes, and you may also help train staff on regulatory updates to minimize risk. This collaborative approach is vital for building a strong compliance culture across the organization.

What does a Regulatory Compliance Associate do?

A Regulatory Compliance Associate ensures that a company adheres to all relevant laws, regulations, and internal policies. They help develop, implement, and monitor compliance programs to prevent illegal or unethical conduct. Their responsibilities often include reviewing business processes, conducting risk assessments, preparing compliance reports, and providing training to staff. By doing so, they help protect the company from legal risks and maintain its reputation. This role is vital in industries like finance, healthcare, and manufacturing where regulations are strict.
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Regulatory Compliance Associate jobs near you
Infographic showing various Regulatory Compliance Associate job openings in the United States as of July 2026, with employment types broken down into 1% As Needed, 67% Full Time, 30% Part Time, 1% Temporary, and 1% Contract. Highlights an 97% Physical, 1% Hybrid, and 2% Remote job distribution, with an average salary of $73,648 per year, or $35.4 per hour.
Regulatory Compliance Associate

Regulatory Compliance Associate

Compliance Exchange Group

Smithtown, NY • On-site

$60K - $70K/yr

Full-time

Medical, Dental, Vision, Retirement, PTO

Re-posted 23 days ago

Job description

Replies within 24 hours
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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