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Sec Examiner Jobs (NOW HIRING)

... 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 ...

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Sec Examiner information

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$33.5K

$61.4K

$99K

How much do sec examiner jobs pay per year?

As of Aug 23, 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 is an SEC examiner?

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.

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 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 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.

How much do SEC examiners make?

SEC examiners typically earn between $70,000 and $130,000 annually, depending on experience, location, and seniority. Entry-level examiners usually start around $70,000, with salaries increasing for more experienced staff and those with specialized skills or certifications.
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:

Infographic showing various Sec Examiner job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 83% Full Time, 14% Part Time, and 2% Contract. Highlights an 75% Physical, 9% Hybrid, and 16% Remote job distribution, with an average salary of $61,362 per year, or $29.5 per hour.

Regulator Reporting Senior Consultant

Deloitte

Richmond, VA

Full-time

Re-posted 29 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 151 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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