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Sec Compliance Jobs (NOW HIRING)

STAAR Surgical

Sr. Corporate Counsel

Lake Forest, CA

$190K - $270K/yr

Key Responsibilities SEC Reporting & Compliance: Draft, review, and file periodic reports (10-K, 10-Q, 8-K) and registration statements. Corporate Governance: Advise on compliance with SEC ...

5 Legal

Corporate & Securities Associate

Seattle, WA · On-site

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

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:

MBX Biosciences

Manager, SOX Compliance

Carmel, IN · On-site

Ability to oversee, or assist with overseeing of, month-end accounting processes. * Assist with SEC ... US GAAP and SEC compliance. * Proficiency in Microsoft Office Suite; experience with ...

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Sec Compliance information

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$31.5K

$98.9K

$207.5K

How much do sec compliance jobs pay per year?

As of Jun 9, 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 does a SEC Compliance job entail?

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 the Sec Compliance position, and why are they important?

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:
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Sec Compliance jobs near you
Infographic showing various Sec Compliance job openings in the United States as of June 2026, with employment types broken down into 1% As Needed, and 99% Full Time. Highlights an 70% Physical, 9% Hybrid, and 21% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.
Senior Vice President, Compliance Consulting

Senior Vice President, Compliance Consulting

Kroll

New York, NY • Hybrid

$90K - $175K/yr

Full-time

This job post has expired today. Applications are no longer accepted.

Job description

At Kroll, you will provide expert compliance guidance to a diverse range of financial firms, including registered investment advisers, broker-dealers, and registered investment companies. You will work alongside accomplished senior staff, deepen your regulatory expertise, mentor junior team members, and deliver outstanding client service as part of an award-winning global team.

We are seeking a collaborative, client-focused professional with deep knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940 a plus. The ideal candidate manages multiple client relationships, delivers practical compliance solutions, stays current on regulatory developments, and contributes to team growth and culture.

Day-to-day responsibilities: 

  • Serve as the day-to-day client contact for compliance guidance and questions, managing and coordinating an internal team to ensure timely delivery of client deliverables

  • Serve as Outsourced CCO for RIA and broker-dealer clients, overseeing compliance programs, codes of ethics, conflicts of interest, and regulatory filings (Form ADV, PF, BD; U4/U5) under the Advisers Act and applicable 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 (Investment Company 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 Investment Company Act compliance, board reporting, and co-investment relief matters

  • Assist with SEC and/or FINRA regulatory inquires

  • Review marketing materials for FINRA and SEC 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

Essential Traits:

  • 5-10+ years of compliance experience supporting RIAs, broker-dealers, and/or registered investment companies

  • Strong working knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940

  • 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

  • Excellent client communication, team management, and organizational skills

  • Ability to manage multiple client engagements independently while contributing to a collaborative team

  • Bachelor's degree required; JD or MBA a plus; NFA/CFTC experience beneficial but not required

  • Relevant industry certifications (CAMS, FINRA licenses etc.)

About Kroll

Join the global leader in risk and financial advisory solutions-Kroll. With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. As a 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.

In order to be considered for a position, you 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.

Salary range for this role is $90,000 - $175,000 USD

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