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Sec Examiner Jobs (NOW HIRING)

US Bank

Regulatory Reporting Manager

Saint Louis, MO · Hybrid

$135K/yr

Prior interaction with FINRA or SEC examiners * Experience supporting multiple brokerdealer legal entities or complex BD structures * Exposure to capital introduction, clearing, prime brokerage, or ...

US Bank

Regulatory Reporting Manager

Charlotte, NC · Hybrid

$135K/yr

Prior interaction with FINRA or SEC examiners * Experience supporting multiple brokerdealer legal entities or complex BD structures * Exposure to capital introduction, clearing, prime brokerage, or ...

Victory Capital

Director, Marketing Compliance

Boston, MA · On-site

$127K - $150K/yr

Direct experience managing FINRA and SEC examinations. Our Benefits: Victory Capital Management Inc. offers excellent Medical, Dental, Vision plans, Flexible PTO, Family Medical and Disability Leaves ...

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$33.5K

$61.4K

$99K

How much do sec examiner jobs pay per year?

As of Jun 7, 2026, the average yearly pay for sec examiner in the United States is $61,362.00, according to ZipRecruiter salary data. Most workers in this role earn between $48,000.00 and $69,500.00 per year, depending on experience, location, and employer.

What are some common challenges SEC Examiners face when conducting regulatory examinations?

SEC Examiners often encounter challenges such as interpreting complex financial documents, staying updated on evolving regulations, and managing tight deadlines during examinations. Additionally, they must communicate findings clearly to regulated entities, which can involve addressing resistance or clarifying misunderstandings. Effective collaboration with legal, compliance, and enforcement teams is key to ensuring thorough and accurate reviews, making adaptability and strong interpersonal skills essential for success in this role.

What are the key skills and qualifications needed to thrive as an SEC Examiner, and why are they important?

To thrive as an SEC Examiner, you need a strong background in accounting, finance, or law, typically supported by a relevant degree and sometimes professional certification such as CPA or JD. Familiarity with regulatory compliance tools, legal research databases, and financial analysis systems is essential. Analytical thinking, attention to detail, and effective written and verbal communication are standout soft skills in this role. These skills ensure accurate enforcement of securities laws, protect investors, and maintain integrity in financial markets.

What is the difference between Sec Examiner vs Security Analyst?

AspectSec ExaminerSecurity Analyst
Required CertificationsCompTIA Security+, CISSP (preferred)CompTIA Security+, CISSP (preferred)
Work EnvironmentGovernment agencies, federal or state cybersecurity teamsPrivate companies, consulting firms, or corporate security teams
Employer & Industry UsagePrimarily in government and defense sectorsAcross various industries including finance, healthcare, and tech
Common Search & Comparison IntentUnderstanding roles in cybersecurity compliance and auditsAssessing security posture and incident response

Both Sec Examiners and Security Analysts work in cybersecurity, often holding similar certifications. Sec Examiners typically focus on compliance, audits, and government security standards, while Security Analysts monitor security systems and respond to threats in various industries. The roles overlap in skills but differ mainly in their focus areas and work environments.

What are SEC Examiners?

SEC Examiners are professionals who work for the Securities and Exchange Commission (SEC) and are responsible for conducting inspections and examinations of financial firms, such as broker-dealers, investment advisers, and mutual funds. Their main goal is to ensure these firms comply with federal securities laws and protect investors from fraud and misconduct. SEC Examiners review records, interview personnel, and assess internal controls and procedures to identify potential risks and violations. Their work helps maintain the integrity of the financial markets and fosters investor confidence.
More about Sec Examiner jobs
What cities are hiring for Sec Examiner jobs? Cities with the most Sec Examiner job openings:
What states have the most Sec Examiner jobs? States with the most job openings for Sec Examiner jobs include:
What job categories do people searching Sec Examiner jobs look for? The top searched job categories for Sec Examiner jobs are:
Sec Examiner jobs near you
Infographic showing various Sec Examiner job openings in the United States as of May 2026, with employment types broken down into 100% Full Time. Highlights an 100% In-person job distribution, with an average salary of $61,362 per year, or $29.5 per hour.

Compliance Services Consultant

Confluence Technologies

Richmond, VA • Remote

Full-time

This job post has expired 1 day ago. Applications are no longer accepted.

Job description

Compliance Services Consultant
Department:
Compliance Services
Employment Type:
Permanent - Full Time
Location:
United States
Reporting To:
Kyrstin Ritsema
Description
Remote- Central or Eastern U.S. time zones
Why Confluence?
At Confluence, we've always been driven by a commitment to innovation, precision, and partnership in the investment data space. Our global footprint now spans multiple countries, giving our employees the opportunity to get exposure to other countries and cultures. And it stands to reason that none of this would have been possible without the hundreds of hard-working employees who work at Confluence.
Key Responsibilities
As a Compliance Services Consultant, you'll take on a senior, client-facing role, acting as the primary compliance authority for a select group of clients. You'll provide hands-on guidance across core U.S. securities laws and play a critical role during high-stakes regulatory events, including SEC examinations.
This is a fully remote, highly autonomous role designed for professionals who value ownership, influence, and long-term client relationships.
What You'll Do
Act as an outsourced Chief Compliance Officer for private fund and retail wealth management clients
Advise clients on compliance with the Investment Advisers Act, Investment Company Act, and Securities Exchange Act
Lead annual reviews, risk assessments, and regulatory filings
Support and manage clients through SEC examinations and regulatory inquiries
Build trusted relationships with C‐suite executives and senior stakeholders
Oversee and mentor junior team members
Contribute to the ongoing development and growth of the compliance practice
Skills, Knowledge & Expertise
What We're Looking For
Must‐Have Experience
Prior in-house or outsourced Chief Compliance Officer experience, with direct accountability
Strong working knowledge of:
Investment Advisers Act of 1940 (essential)
Securities Exchange Act of 1934
Investment Company Act of 1940
7+ years of experience in the regulated investment industry (compliance, consulting, or regulatory)
Proven ability to advise C‐suite and senior leadership
Hands‐on experience with private equity, private credit, hedge funds, and/or retail wealth managers
Nice-to-Have (But Not Required)
Law degree or postgraduate compliance or legal education
Professional certifications (IACCP, CAMS/ACAMS, CRCP, CFE)
FINRA licenses (e.g., Series 24)
Experience with IARD, CRD, PFRD, EDGAR, and compliance software
Exposure to CFTC/NFA regulations
Experience mentoring or leading junior professionals
Travel
Moderate travel, typically up to approximately 40%
Job Benefits
Confluence offers generous benefit packages for team members. As a growing, global organization, we are always looking for ways to ensure that our employees can access benefits that matter to them and their families. This includes:
Time Off packages including additional half days with each public holiday in your location.
Global Career Development opportunities
Social Events
Referral Bonus scheme - Up to $3,000 per successful referral
Plus many more!
More about the Location
We offer flexible working options for all employees.
#LI-Remote - Central or Eastern U.S. time zones preferred
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