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Sec Compliance Consulting Jobs in Indiana (NOW HIRING)

The SEC is responsible for processing and reviewing tasks, applications, changes, and ... Make an eligibility determination for appropriate benefits and waiver programs in compliance with ...

The SEC is responsible for processing and reviewing tasks, applications, changes, and ... Make an eligibility determination for appropriate benefits and waiver programs in compliance with ...

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Sec Compliance Consulting information

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 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 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.

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.

What are popular job titles related to Sec Compliance Consulting jobs in Indiana?

For Sec Compliance Consulting jobs in Indiana, the most frequently searched job titles are:

What job categories do people searching Sec Compliance Consulting jobs in Indiana look for?

The top searched job categories for Sec Compliance Consulting jobs in Indiana are:

What cities in Indiana are hiring for Sec Compliance Consulting jobs?

Cities in Indiana with the most Sec Compliance Consulting job openings:

Infographic showing various Sec Compliance Consulting job openings in Indiana as of August 2026, with employment types broken down into 1% As Needed, 84% Full Time, 11% Part Time, and 4% Contract. Highlights an 92% Physical, 3% Hybrid, and 5% Remote job distribution.

Regulator Reporting Senior Consultant

Deloitte

Indianapolis, IN • On-site

Full-time

Re-posted 8 days ago


Deloitte rating

8.2

Company rating: 8.2 out of 10

Based on 93 frontline employees who took The Breakroom Quiz

45th of 152 rated financial services


Job description

Are you an experienced, passionate pioneer in technology who wants to work in a collaborative environment? As an experienced Regulatory Reporting Senior Consultant, you will have the ability to share new ideas and collaborate on projects as a consultant without the extensive demands of travel. If so, consider an opportunity with Deloitte under our Project Delivery Talent Model. Project Delivery Model (PDM) is a talent model that is tailored specifically for long-term, onsite client service delivery.

Recruiting for this role ends on Thursday, December 31st 2026.

Work you'll do/Responsibilities  

  • The Regulatory Reporting Specialist is responsible for overseeing the preparation, review, and submission of regulatory reports within the defined scope of 40 Act and non-40 Act funds in the investment management space. This role ensures regulatory compliance, accuracy, and timeliness of all filings, while maintaining strong process governance, documentation standards, and control frameworks across various regulators such as SEC, CFTC, BEA, NFA, Treasury. The specialist serves as a key escalation point for regulatory reporting matters and supports audits, examinations, and ongoing operational improvements. Here are the specific responsibilities for this role:
    • Manage end-to-end regulatory reporting activities covering 40 Act and non-40 Act funds in the investment management space (e.g., Form PF, TIC, CPO-PQR, Form 16, Form 13, N-PX, BEA reports), ensuring compliance with applicable regulatory requirements across various regulators such as SEC, CFTC, BEA, NFA, Treasury.
    • Review, approve, and oversee the submission of all regulatory filings to ensure accuracy, completeness, and consistency with established standards.
    • Maintain and enhance standard operating procedures, documentation, and control frameworks to support audit readiness and regulatory examinations.
    • Serve as the primary escalation point for regulatory reporting issues, coordinating resolution across internal stakeholders and external service providers.
    • Support regulatory exams, internal audits, and ad hoc data requests related to fund regulatory reporting.
    • Drive continuous improvement initiatives to strengthen reporting quality, reduce operational risk, and improve process efficiency.
    • Ensure appropriate knowledge transfer, cross training, and coverage to mitigate key person risk across regulatory reporting processes. 

The successful candidate would possess these skills:

  • Ability to work independently and collaborate as part of a team
  • Effective written and verbal communication skills
  • Meticulous attention to detail and quality of work product
  • Ability to build and sustain professional relationships 
  • Ability to lead projects or workstreams
  • Ability to manage and prioritize multiple tasks in a fast-paced and dynamic environment
  • Strong interpersonal skills and professional demeanor 
  • Ability to meet deadlines
  • Ability to provide clear guidance to others

The Team 

Our Deloitte Regulatory, Risk & Forensic team helps client leaders translate multifaceted risk and an evolving regulatory environment into defensible actions that strengthen, protect, and transform their organization. Join our team and use advanced data, AI, and emerging technologies with industry insights to help clients bring clarity from complexity and accelerate their path to value creation.

Our Regulatory, Risk, & Forensic Operate offering support to clients by delivering Operate services spanning the Regulatory, Risk & Forensic portfolio. We "embed continuous advantage" through domain, industry, technology and transformation skills to perform client business functions that manage risk and deliver value-added outcomes, all while driving predictable long-term revenue, profitability, and growth.

Qualifications

Required

  • Manage end-to-end regulatory reporting activities covering 40 Act and non-40 Act funds in the investment management space (e.g., Form PF, TIC, CPO-PQR, Form 16, Form 13, N-PX, BEA reports), ensuring compliance with applicable regulatory requirements across various regulators such as SEC, CFTC, BEA, NFA, Treasury.
  • Review, approve, and oversee the submission of all regulatory filings to ensure accuracy, completeness, and consistency with established standards.
  • Maintain and enhance standard operating procedures, documentation, and control frameworks to support audit readiness and regulatory examinations.
  • Serve as the primary escalation point for regulatory reporting issues, coordinating resolution across internal stakeholders and external service providers.
  • Support regulatory exams, internal audits, and ad hoc data requests related to fund regulatory reporting.
  • Drive continuous improvement initiatives to strengthen reporting quality, reduce operational risk, and improve process efficiency.
  • Ensure appropriate knowledge transfer, cross training, and coverage to mitigate key person risk across regulatory reporting processes. 
  • Limited immigration sponsorship may be available.
  • Ability to travel 10%, on average, based on the work you do and the clients and industries/sectors you serve.
  • Bachelor's degree, preferably in Computer Science, Information Technology, Computer Engineering, or related IT discipline; or equivalent experience.

The wage range for this role takes into account the wide range of factors that are considered in making compensation decisions including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs. The disclosed range estimate has not been adjusted for the applicable geographic differential associated with the location at which the position may be filled. At Deloitte, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. A reasonable estimate of the current range is $118,000 to $130,000.

You may also be eligible to participate in a discretionary annual incentive program, subject to the rules governing the program, whereby an award, if any, depends on various factors, including, without limitation, individual and organizational performance.

Qualifications:

Are you an experienced, passionate pioneer in technology who wants to work in a collaborative environment? As an experienced Regulatory Reporting Senior Consultant, you will have the ability to share new ideas and collaborate on projects as a consultant without the extensive demands of travel. If so, consider an opportunity with Deloitte under our Project Delivery Talent Model. Project Delivery Model (PDM) is a talent model that is tailored specifically for long-term, onsite client service delivery.

Recruiting for this role ends on Thursday, December 31st 2026.

Work you'll do/Responsibilities  

  • The Regulatory Reporting Specialist is responsible for overseeing the preparation, review, and submission of regulatory reports within the defined scope of 40 Act and non-40 Act funds in the investment management space. This role ensures regulatory compliance, accuracy, and timeliness of all filings, while maintaining strong process governance, documentation standards, and control frameworks across various regulators such as SEC, CFTC, BEA, NFA, Treasury. The specialist serves as a key escalation point for regulatory reporting matters and supports audits, examinations, and ongoing operational improvements. Here are the specific responsibilities for this role:
    • Manage end-to-end regulatory reporting activities covering 40 Act and non-40 Act funds in the investment management space (e.g., Form PF, TIC, CPO-PQR, Form 16, Form 13, N-PX, BEA reports), ensuring compliance with applicable regulatory requirements across various regulators such as SEC, CFTC, BEA, NFA, Treasury.
    • Review, approve, and oversee the submission of all regulatory filings to ensure accuracy, completeness, and consistency with established standards.
    • Maintain and enhance standard operating procedures, documentation, and control frameworks to support audit readiness and regulatory examinations.
    • Serve as the primary escalation point for regulatory reporting issues, coordinating resolution across internal stakeholders and external service providers.
    • Support regulatory exams, internal audits, and ad hoc data requests related to fund regulatory reporting.
    • Drive continuous improvement initiatives to strengthen reporting quality, reduce operational risk, and improve process efficiency.
    • Ensure appropriate knowledge transfer, cross training, and coverage to mitigate key person risk across regulatory reporting processes. 

The successful candidate would possess these skills:

  • Ability to work independently and collaborate as part of a team
  • Effective written and verbal communication skills
  • Meticulous attention to detail and quality of work product
  • Ability to build and sustain professional relationships 
  • Ability to lead projects or workstreams
  • Ability to manage and prioritize multiple tasks in a fast-paced and dynamic environment
  • Strong interpersonal skills and professional demeanor 
  • Ability to meet deadlines
  • Ability to provide clear guidance to others

The Team 

Our Deloitte Regulatory, Risk & Forensic team helps client leaders translate multifaceted risk and an evolving regulatory environment into defensible actions that strengthen, protect, and transform their organization. Join our team and use advanced data, AI, and emerging technologies with industry insights to help clients bring clarity from complexity and accelerate their path to value creation.

Our Regulatory, Risk, & Forensic Operate offering support to clients by delivering Operate services spanning the Regulatory, Risk & Forensic portfolio. We "embed continuous advantage" through domain, industry, technology and transformation skills to perform client business functions that manage risk and deliver value-added outcomes, all while driving predictable long-term revenue, profitability, and growth.

Qualifications

Required

  • Manage end-to-end regulatory reporting activities covering 40 Act and non-40 Act funds in the investment management space (e.g., Form PF, TIC, CPO-PQR, Form 16, Form 13, N-PX, BEA reports), ensuring compliance with applicable regulatory requirements across various regulators such as SEC, CFTC, BEA, NFA, Treasury.
  • Review, approve, and oversee the submission of all regulatory filings to ensure accuracy, completeness, and consistency with established standards.
  • Maintain and enhance standard operating procedures, documentation, and control frameworks to support audit readiness and regulatory examinations.
  • Serve as the primary escalation point for regulatory reporting issues, coordinating resolution across internal stakeholders and external service providers.
  • Support regulatory exams, internal audits, and ad hoc data requests related to fund regulatory reporting.
  • Drive continuous improvement initiatives to strengthen reporting quality, reduce operational risk, and improve process efficiency.
  • Ensure appropriate knowledge transfer, cross training, and coverage to mitigate key person risk across regulatory reporting processes. 
  • Limited immigration sponsorship may be available.
  • Ability to travel 10%, on average, based on the work you do and the clients and industries/sectors you serve.
  • Bachelor's degree, preferably in Computer Science, Information Technology, Computer Engineering, or related IT discipline; or equivalent experience.

The wage range for this role takes into account the wide range of factors that are considered in making compensation decisions including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs. The disclosed range estimate has not been adjusted for the applicable geographic differential associated with the location at which the position may be filled. At Deloitte, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. A reasonable estimate of the current range is $118,000 to $130,000.

You may also be eligible to participate in a discretionary annual incentive program, subject to the rules governing the program, whereby an award, if any, depends on various factors, including, without limitation, individual and organizational performance.

Education:Bachelor's DegreeEmployment Type:

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