ZipRecruiter

Log In

1

Sec Compliance Jobs (NOW HIRING)

Aionios LLC

Capital Markets Associate

Washington, DC

$200K - $260K/yr

This is an outstanding opportunity to work on sophisticated securities offerings, SEC compliance, and corporate governance matters for public companies, financial institutions, and emerging growth ...

5 Legal

Corporate & Securities Associate

Seattle, WA

... SEC compliance, and corporate governance experience. The role focuses on capital markets transactions, corporate governance and compliance, mergers and acquisitions and general corporate counseling ...

Addition Management

Assistant Controller

Princeton, NJ

$150K - $175K/yr

Position Summary The Assistant Controller will support the Company's accounting, financial reporting, SEC compliance, and cash management functions. This role will assist with the monthly close ...

Staar Surgical

Sr. Corporate Counsel

Lake Forest, CA · On-site

$190K - $270K/yr

Advise on compliance with SEC regulations, Sarbanes-Oxley Act, and listing exchange rules (NYSE/NASDAQ). • Corporate Secretarial Support: Support the Board of Directors, prepare board materials ...

Omers

Director, Legal and Compliance

New York, NY

Support the Chief Compliance Officer for an SEC regulated subsidiary. Support the legal and compliance regulatory and reporting requirements to the SEC and other applicable regulators, including:

RESEARCH DATA GROUP INC

Production Manager

Boise, ID

LOCAL CANDIDATES ONLY RDG Filings is a financial reporting company helping clients from all over the world maintain SEC compliance of their sensitive financial information. We're looking for talented ...

RESEARCH DATA GROUP INC

LOCAL CANDIDATES ONLY RDG Filings is a financial reporting company helping clients from all over the world maintain SEC compliance of their sensitive financial information. We're looking for talented ...

previous page

Showing results 41-60

All JobsSec Compliance Jobs

Sec Compliance information

See salary details

$31.5K

$98.9K

$207.5K

How much do sec compliance jobs pay per year?

As of Aug 14, 2026, the average yearly pay for sec compliance in the United States is $98,949.00, according to ZipRecruiter salary data. Most workers in this role earn between $61,500.00 and $115,000.00 per year, depending on experience, location, and employer.

What are the typical challenges faced by Sec Compliance professionals on a daily basis?

Sec Compliance professionals often navigate the constantly changing landscape of regulatory requirements and must stay up to date on new and emerging security threats. Balancing the enforcement of strict compliance standards with the need for operational flexibility can be challenging, especially in large organizations. They regularly coordinate with various departments to ensure consistent policy implementation and remediation of non-compliance issues. Successfully meeting these challenges requires adaptability, continuous learning, and strong collaboration skills to ensure organizational resilience and regulatory adherence.

What is SEC compliance?

SEC compliance refers to adhering to the regulations and reporting requirements set by the U.S. Securities and Exchange Commission. Professionals in securities compliance ensure that financial institutions and companies follow laws related to securities trading, disclosures, and corporate governance, often using tools like compliance software and maintaining certifications such as Certified Regulatory Compliance Manager (CRCM).

What is a SEC compliance officer?

A SEC compliance officer is a professional responsible for ensuring that a financial firm or organization adheres to the regulations and reporting requirements set by the Securities and Exchange Commission (SEC). They develop policies, monitor compliance, and often hold certifications such as FINRA or SEC-specific training to manage regulatory risks effectively.

What does a Sec Compliance professional do?

A SEC Compliance job involves ensuring that a company adheres to regulations set by the U.S. Securities and Exchange Commission (SEC). This includes monitoring financial reporting, disclosures, and corporate governance to prevent violations and maintain transparency. Professionals in this role interpret SEC rules, conduct audits, and implement policies to ensure compliance. They often work closely with legal and finance teams to mitigate risks and maintain regulatory standards.

What are the key skills and qualifications needed to thrive in Sec Compliance?

To thrive as a Sec Compliance professional, you need a solid understanding of security regulations, risk management, and compliance frameworks, often supported by a degree in information security, legal studies, or a related field. Familiarity with tools such as GRC (governance, risk, and compliance) platforms, and certifications like CISSP or CISA, is highly valuable. Excellent attention to detail, strong analytical thinking, and effective communication skills help professionals excel in this role. These qualifications are essential to ensure organizations meet regulatory standards and effectively manage security risks.

More about Sec Compliance jobs

What cities are hiring for Sec Compliance jobs?

Cities with the most Sec Compliance job openings:

What are the most commonly searched types of Sec Compliance jobs?

The most popular types of Sec Compliance jobs are:

What states have the most Sec Compliance jobs?

States with the most job openings for Sec Compliance jobs include:

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

The top searched job categories for Sec Compliance jobs are:

Sec Compliance jobs near you
Infographic showing various Sec Compliance job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 84% Full Time, 11% Part Time, and 4% Contract. Highlights an 93% Physical, 3% Hybrid, and 4% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Compliance Advisor, Branch Examinations

Lincoln Investment

Fort Washington, PA • On-site

Full-time

Re-posted 7 days ago

Job description

Lincoln Investment is recognized as one of Philadelphia's Top Workplaces for fifteen years, is an independent broker dealer and registered investment advisor that offers brokerage, investment advisory and other financial services. Lincoln has about 1,000 financial professionals nationwide and we serve over 310,000 clients representing over $60 billion in assets. We are a majority family-owned financial services firm that regards our employees as integral players in our continuous growth. Lincoln Investment's success is built upon our dedication to helping people retire well and promoting a work environment that fosters success. Our financial strength and profitability are natural results of "helping people, having fun, and enjoying success." Lincoln Investment offers a competitive compensation and benefits package. Our Home Office is conveniently located in Fort Washington, PA, just outside of Philadelphia.
Basic Function: Position involves conducting Compliance Examinations of Branch Offices and other Lincoln business locations. Effective July 1, 2024, FINRA Rule 3110.18 established a voluntary, three-year remote inspections pilot program to allow eligible member firms to fulfill their inspection obligation of qualified branch offices, including OSJs and non-branch locations remotely, without an on-site visit to such offices or locations, subject to specified terms, which Lincoln has affirmatively elected to participate in. Under normal circumstances, this person may spend a large amount of time on the road, and overnight travel will be necessary. Position will also include providing consultation and training to Designated Supervisors and Financial Professionals, Branch Administrators/Sales Assistants and Home Office Employees on FINRA/SEC compliance rules and regulations relating to Broker-Dealer and investment advisory business. In addition, Compliance Advisor may be given other responsibilities relating to the oversight, detection and prevention of violations of such businesses' rules and regulations.
Responsibilities:
  • Conduct announced and unannounced Annual, Semi-Annual and/or Periodic Compliance Examinations of Branch Offices and other Lincoln Investment business locations.
  • Evaluate adherence to FINRA, SEC, MSRB, and applicable state regulations, as well as Firm policies, procedures, and supervisory requirements, including:
    • Recordkeeping obligations
    • Sales practices and client interactions
  • Prepare clear and concise written Exit Interview report of the inspection identifying deficiencies and required corrective actions.
  • Communicate findings effectively, both verbally and in writing, and provide remediation guidance to branch personnel.
  • Review and assess branch's formal written responses to Exit Interview reports to confirm adequacy of remediation and closure.
  • Plan and prepare for examinations, including pre-audit review, scheduling, and travel coordination in accordance with departmental budgets and Firm travel policies.
  • Manage multiple examinations and projects simultaneously.
  • Present and articulate examination findings and supporting workpapers to regulators and others, when necessary.
  • Stay abreast of changing regulations that impact the firm and remain current with the firm's written policies and procedures.
  • Support departmental and enterprise-wide compliance initiatives, including providing guidance to Designated Supervisors, Financial Professionals, branch personnel, and Home Office staff.
  • Assist with new branch onboarding, set-up, and training, as needed.
  • Provide cross-functional support to other Compliance team members, as needed

Knowledge/Experience:
  • Required:
    • Strong working knowledge of FINRA, SEC, MSRB, and applicable state regulatory frameworks governing Broker-Dealers and Registered Investment Advisers.
    • Intermediate to advanced knowledge of securities and insurance products as well as investment advisory services.
    • Strong communication skills, including clear, concise written communication and professional, effective verbal presentation abilities.
    • Intermediate to advanced computer skills, including proficiency in Microsoft Office - Word, Excel, and Outlook as well as Adobe Acrobat and web-based applications.
  • Preferred:
    • 3+ years of Compliance focused auditing experience in a Broker-Dealer and/or Registered Investment Adviser environment.
    • Experience using Quest CE, SunGard/FIS, Pershing NetX360 and other third-party vendor systems.
  • Helpful:
    • Registered representative or branch administrative background or Broker-Dealer operations experience. Lincoln Investment operations experience a plus.

Skills
  • Strong interpersonal, verbal and written communication skills.
  • Effective time management, organizational and follow-through capabilities.
  • Ability to independently manage multiple tasks and deliver within defined timelines.
  • Maintain focus and develop a prioritization system to provide exceptional customer service levels in a dynamic environment.
  • Exceptional attention to detail and accuracy.
  • Strong investigative, analytical, and interviewing capabilities.
  • Compelling and effective at communicating, presenting and building consensus on compliance issues across all levels within the organization.
  • Collaborative team player with the ability to work independently with minimal supervision.
  • Exercises strong independent judgment and discretion in determining compliance with applicable regulations and company guidelines.

Education/Training
  • Bachelor's degree in a related field or the equivalent combination of education and/or experience.

Certification/Licenses
  • FINRA Series 7, 24 and 65 or 66 registrations are required. (Successful candidates who do not possess principal's registration at time of hire will have 6 months to obtain). Additional registrations, licenses and/or professional designations a plus.

Physical/Other Requirements
  • Domestic travel could represent 50% or more of time.
  • Periods of fast pace are normal particularly when working to meet deadlines.

Lincoln Investment is an equal opportunity employer. Lincoln Investment prohibits discrimination and harassment of any type and affords equal employment opportunities to employees and applicants without regard to race, color, religion, sex, sexual orientation, gender identity or expression, pregnancy, age, national origin, disability status, genetic information, protected veteran status, or any other characteristic protected by law. Lincoln Investment conforms to the spirit as well as to the letter of all applicable laws and regulations.

Apply