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Sec Compliance Consulting Jobs (NOW HIRING)

Kroll

Director, Compliance Consulting

New York, NY · On-site

Director - US FSCR - Compliance Consulting At Kroll, you will lead the delivery of expert ... Review marketing materials for FINRA, SEC, '40 Act compliance; support FINRA membership ...

Orion180

Senior SEC Reporting Analyst

Irving, TX · On-site

Internal Controls: Assist the SEC reporting team and Big 4 Internal Audit consultants build and execute internal controls over financial reporting to ensure SOX compliance. * Audit Coordination:

XYPN

Compliance Associate

$53K - $63K/yr

About XYPN XY Investment Solutions, LLC, DBA XYPN Sapphire, is an SEC-registered investment adviser ... Partner with our affiliated compliance consulting team on selected research and program The Deets:

RSM Global

SEC Regulations Leader

Washington, DC · On-site

... and consulting practices, to enable others to address existing and new accounting standards ... Leads development of thought leadership on matters related to SEC reporting and compliance matters ...

RSM

SEC Regulations Leader

Washington, DC · On-site

... audit,taxand consulting practices, to enable others to address existing and new accounting ... Leadsdevelopment ofthought leadershipon matters related to SECreporting and compliance matters ...

Vise

Compliance Officer

New York, NY · On-site

$110K - $130K/yr

Attend regular and ad-hoc meetings with the CLO and third-party compliance consultant * Help ensure adherence to applicable SEC regulations and other regulatory requirements * Conduct periodic ...

Vise

Compliance Officer

New York, NY

$110K - $130K/yr

Attend regular and ad-hoc meetings with the CLO and third-party compliance consultant * Help ensure adherence to applicable SEC regulations and other regulatory requirements * Conduct periodic ...

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Sec Compliance Consulting information

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$35.5K

$80.9K

$148.5K

How much do sec compliance consulting jobs pay per year?

As of Aug 7, 2026, the average yearly pay for sec compliance consulting in the United States is $80,929.00, according to ZipRecruiter salary data. Most workers in this role earn between $58,000.00 and $96,500.00 per year, depending on experience, location, and employer.

What are the key skills and qualifications needed to thrive as an SEC compliance consultant?

To thrive as an SEC Compliance Consultant, you need a robust understanding of securities laws, regulatory frameworks, and experience with compliance program development, usually backed by a degree in finance, law, or a related field. Familiarity with compliance management software, SEC filing systems (such as EDGAR), and relevant certifications like Certified Regulatory Compliance Manager (CRCM) are highly valued. Strong analytical thinking, attention to detail, and clear communication enable effective risk assessment and client advisory. These skills are crucial to ensure organizations meet regulatory requirements, avoid penalties, and maintain strong reputations in the financial industry.

What is SEC compliance consulting?

SEC compliance consulting refers to professional advisory services that help businesses and individuals adhere to regulations set by the U.S. Securities and Exchange Commission (SEC). These consultants assist with understanding and implementing SEC rules, preparing required filings, and maintaining ongoing compliance to avoid legal issues and penalties. They often support public companies, investment advisors, and broker-dealers in navigating complex regulatory requirements, ensuring transparency, and promoting ethical financial practices.

What are the typical challenges faced by SEC compliance consultants when working with clients in highly regulated industries?

SEC Compliance Consultants often encounter challenges such as keeping up with rapidly evolving regulations, ensuring clients' internal controls meet strict SEC standards, and managing tight reporting deadlines. Navigating complex financial documentation and coordinating with various departments, such as legal, finance, and audit teams, requires strong communication and project management skills. Additionally, consultants must often educate clients on best practices to maintain compliance and prepare for potential audits, making adaptability and continuous learning essential in this role.

How to get into security compliance consulting?

Security compliance consulting involves assessing and ensuring organizations meet industry standards like ISO 27001, HIPAA, or PCI DSS. Entry typically requires a background in information security, knowledge of compliance frameworks, and relevant certifications such as CISSP, CISA, or CompTIA Security+. Gaining experience through roles in IT, security, or audit and staying updated on regulatory changes are also important.

What is the difference between Sec Compliance Consulting vs Security Analyst?

AspectSec Compliance ConsultingSecurity Analyst
CertificationsISO 27001, CISSP, CISACISSP, CompTIA Security+
Work EnvironmentConsulting firms, client sites, remoteIn-house security teams, IT departments
Industry UsageRegulatory compliance, risk managementThreat detection, incident response

Sec Compliance Consulting focuses on helping organizations meet regulatory standards and manage compliance risks, often working across multiple clients. Security Analysts primarily monitor and respond to security threats within an organization’s IT infrastructure. While both roles require security certifications, compliance consultants emphasize policy and standards, whereas security analysts focus on threat mitigation and incident handling.

More about Sec Compliance Consulting jobs
What cities are hiring for Sec Compliance Consulting jobs? Cities with the most Sec Compliance Consulting job openings:
What states have the most Sec Compliance Consulting jobs? States with the most job openings for Sec Compliance Consulting jobs include:
What job categories do people searching Sec Compliance Consulting jobs look for? The top searched job categories for Sec Compliance Consulting jobs are:
Sec Compliance Consulting jobs near you
Infographic showing various Sec Compliance Consulting job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 83% Full Time, 11% Part Time, and 5% Contract. Highlights an 93% Physical, 2% Hybrid, and 5% Remote job distribution, with an average salary of $80,929 per year, or $38.9 per hour.

Director, Compliance Consulting

Kroll

New York, NY • On-site

Full-time

Posted 11 days ago

Kroll rating

7.4

Company rating: 7.4 out of 10

Based on 7 frontline employees who took The Breakroom Quiz

Job description


Director - US FSCR - Compliance Consulting
At Kroll, you will lead the delivery of expert compliance guidance to a diverse range of financial firms, including registered investment advisers, broker-dealers, and registered investment companies. As a senior leader within the practice, you will own and grow key client relationships, serve as a trusted advisor to senior executives and boards, develop and mentor the broader team, and help drive the strategic growth of our award-winning global compliance consulting practice.
Responsibilities
We are seeking an experienced, client-focused leader with deep knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940 ('40 Act) a plus. The ideal candidate owns a portfolio of client relationships, provides strategic direction on complex compliance matters, leads and develops engagement teams, drives business development, and helps shape the growth, culture, and thought leadership of the practice. This includes but is not limited to:
  • Own senior-level client relationships as the primary point of contact for strategic compliance guidance, leading and coordinating engagement teams to ensure high-quality, timely delivery across a portfolio of clients
  • Serve as a senior consultant and/or Outsourced CCO for registered investment advisers (RIAs), broker-dealers, or registered investment companies (RICs) clients- providing strategic oversight of compliance programs, codes of ethics, conflicts of interest, and regulatory filings (Forms ADV, PF, BD; U4/U5) under the Advisers Act, Investment '40 Act, and FINRA rules.
  • Develop and implement tailored compliance programs, including written policies, procedures, testing, and surveillance in accordance with Rule 206(4)-7 (Advisers Act), Rule 3120/3130 (FINRA), and Rule 38a-1 ('40 Act)
  • Advise clients on Advisers Act obligations including leading new registrations for RIAs and ERAs and regulatory exams or inquiries
  • Support registered investment companies, closed-end funds, and BDCs on '40 Act compliance, board reporting, and co-investment relief matters
  • Assist with SEC and/or FINRA regulatory inquires
  • Review marketing materials for FINRA, SEC, '40 Act compliance; support FINRA membership applications and mock regulatory examinations
  • Monitor regulatory developments, SEC examination priorities, and enforcement trends affecting RIAs, broker-dealers, and registered funds, and advise clients on their strategic implications
  • Drive business development by identifying new opportunities, leading proposals, expanding existing engagements, and cultivating relationships with prospects and referral sources
  • Lead, mentor, and develop team members, including junior staff, and contribute to the growth, training, and culture of the practice
  • Contribute to thought leadership through publications, webinars, and speaking engagements that enhance Kroll's market presence and brand

Requirements
  • 10-20+ years of compliance experience supporting RIAs, broker-dealers, and/or RICs, including a track record of leading engagements and client relationships
  • Strong working knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the '40 Act
  • Experience registering and managing compliance programs, including policies and procedures, testing, and regulatory filings (Form ADV, BD, U4/U5)
  • Familiarity with SEC examination processes, FINRA oversight, and regulatory remediation
  • Regulatory compliance experience within a payments fintech, crypto exchange, money services business, bank, or similar financial services firm, with a focus on digital asset or cryptocurrency compliance- a plus but not required
  • Proven ability to originate and close new business and expand existing client relationships
  • Excellent client communication, team leadership, and organizational skills, with demonstrated ability to develop talent and manage engagement teams
  • Proven ability to lead and grow multiple client engagements while contributing to business development and a collaborative team culture
  • Bachelor's degree required; JD or MBA a plus
  • Relevant industry certifications (CAMS, FINRA licenses etc.)

Additional but not required:
  • Experience advising CTAs, CPOs, and FCMs on NFA and CFTC requirements, including registration, compliance programs, and exam preparedness
  • Familiarity with U.S. Money Transmitter Licenses (MTLs), FinCEN MSB registration, and state financial licensing processes
  • Familiarity with bank charter formation, including de novo charter (OCC, state) and FDIC deposit insurance applications

Why Join Kroll?
Join the global leader in risk and financial advisory solutions. With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. As part of One Team, One Kroll, you'll contribute to a collaborative and empowering environment, propelling your career to new heights. Ready to build, protect, restore, and maximize our clients' value? Your journey begins with Kroll.
Interested candidates must formally apply via: careers.kroll.com
Kroll is committed to creating an inclusive work environment. We are proud to be an equal opportunity employer and will consider all qualified applicants regardless of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status, age, or disability.
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