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Sec Examiner Jobs (NOW HIRING)

U.S. Bank

Regulatory Reporting Manager

Saint Louis, MO · On-site

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

moomoo

VP, Regulatory Finance

Jersey City, NJ · On-site

State Money Transmission License application and renewal Support regulatory examinations and serve as a key contact for FINRA, SEC, CFTC, NFA and external auditors. Support month-end, quarter-end ...

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moomoo

VP, Regulatory Finance

Dallas, TX · On-site

State Money Transmission License application and renewal Support regulatory examinations and serve as a key contact for FINRA, SEC, CFTC, NFA and external auditors. Support month-end, quarter-end ...

New

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How much do sec examiner jobs pay per year?

As of Jul 12, 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 degree do you need to work for the SEC?

To work as a Securities Examiner at the SEC, a bachelor's degree in fields such as finance, accounting, economics, or a related discipline is typically required. Advanced degrees or professional certifications like CPA or CFA can enhance prospects, and relevant experience in finance or regulation is also important.

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.

How much does an SEC examiner make?

An SEC examiner typically earns between $70,000 and $130,000 annually, depending on experience, location, and level within the agency. Entry-level examiners usually start around $70,000, with salaries increasing for more experienced staff and supervisory roles. The position often requires knowledge of securities laws and regulatory procedures.

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.

What is a SEC examiner?

A SEC examiner is a professional who works for the Securities and Exchange Commission to oversee and enforce federal securities laws. They review financial firms, broker-dealers, and investment advisors to ensure compliance, often conducting audits and examinations using regulatory tools and standards. Strong knowledge of securities regulations and attention to detail are essential for this role.

What jobs pay $500,000 a year in the US?

High-paying jobs for a Security Examiner are rare, with most earning well below $500,000 annually. Typically, roles in executive management, specialized cybersecurity consulting, or senior security leadership positions such as Chief Information Security Officer (CISO) can reach or exceed this level, often requiring extensive experience, advanced certifications, and leadership responsibilities.
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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 July 2026, with employment types broken down into 1% As Needed, 84% Full Time, 12% Part Time, 2% Contract, and 1% Nights. Highlights an 89% Physical, 3% Hybrid, and 8% Remote job distribution, with an average salary of $61,362 per year, or $29.5 per hour.
Senior Regulatory Reporting Analyst

Senior Regulatory Reporting Analyst

U.S. Bank

Saint Louis, MO • On-site

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 29 days ago

U.S. Bank rating

8.2

Company rating: 8.2 out of 10

Based on 355 frontline employees who took The Breakroom Quiz

44th of 149 rated banks

Job description

At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One.
Job Description
The Senior Regulatory Reporting Analyst (Broker Dealer) is responsible for preparation of all regulatory filings for registered broker dealer legal entities. This role ensures compliance with SEC and FINRA reporting requirements, including net capital and customer protection rules. The position maintains strong regulatory controls, and partners closely with the Business line to ensure filings are accurate, timely, and defensible.
Broker-Dealer Regulatory Reporting
  • Own end-to-end preparation of FOCUS Reports (Part IIA / IIB) and related schedules.
  • Own end-to-end preparation and reporting related to SEC Rule 15c3-1 (Net Capital) and SEC Rule 15c3-3 (Customer Protection / Reserve Formula).
  • Analyze complex areas including:
    • Netting and allowable vs. non-allowable assets
    • Haircuts and concentration charges
    • Customer reserve computations and deposits
    • PAB vs. customer segregation distinctions
    • Affiliate and intercompany balances
  • Assess the impact of new products, business changes, or legal-entity activity on regulatory reporting.

Controls, Governance & Exams
  • Maintain and enhance controls supporting broker-dealer regulatory reporting in alignment with SOX/FRR and supervisory procedures.
  • Own regulatory reporting narratives, desk procedures, and control documentation.
  • Coordinate responses to FINRA, SEC, and internal audit exams, including data requests, findings, and remediation.
  • Perform root-cause analysis on reporting issues and lead sustainable remediation.

Cross-Functional Partnership
  • Partner across different areas of the business line.
  • Act as a starting point of contact for regulatory inquiries and escalations.
  • Clearly explain regulatory outcomes, risks, and issues to senior Finance and business leadership.

Process Improvement & Regulatory Change
  • Drive automation, standardization, and reduction of manual regulatory reporting processes.
  • Lead analysis of regulatory rule changes, interpretive guidance, or FINRA/SEC updates.
  • Improve data lineage between source systems and regulatory reports.

Basic Qualifications
- Bachelor's degree in accounting or finance, or equivalent work experience
- Five to eight years of experience in financial accounting activities
Preferred Qualifications
  • CPA or equivalent professional certification
  • Direct experience with FOCUS filings, net capital computations, and reserve formula calculations
  • Prior interaction with FINRA or SEC examiners
  • Experience supporting multiple broker-dealer legal entities or complex BD structures
  • Exposure to capital introduction, clearing, prime brokerage, or correspondent models
  • 2-4+ years of experience in broker-dealer regulatory reporting, product control, financial control, or public accounting (financial services)
  • Strong working knowledge of SEC and FINRA broker-dealer regulations
  • Experience supporting or responding to regulatory exams
  • Obtain FINRA Series 27 license within 120 days of employment

Core Competencies & Skills:
Technical & Regulatory Judgment
  • Deep understanding of broker-dealer balance sheet mechanics
  • Strong command of regulatory interpretation and judgment
  • Ability to identify filing and exam risk before submission

Leadership & Communication
  • Clear, concise written and verbal communication
  • Comfortable challenging unsupported explanations
  • Strong escalation and issue-framing instincts

Control & Execution Mindset
  • Exceptionally detail-oriented with high accuracy standards
  • Strong documentation and audit-readiness discipline
  • Thrives under regulatory deadlines and scrutiny

This role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants.
Benefits:
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following:
  • Healthcare (medical, dental, vision)
  • Basic term and optional term life insurance
  • Short-term and long-term disability
  • Pregnancy disability and parental leave
  • 401(k) and employer-funded retirement plan
  • Paid vacation (from two to five weeks depending on salary grade and tenure)
  • Up to 11 paid holiday opportunities
  • Adoption assistance
  • Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law

Review our full benefits available by employment status here.
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
E-Verify
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program.
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $86,360.00 - $101,600.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
Posting may be closed earlier due to high volume of applicants.

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About U.S. Bank

Sourced by ZipRecruiter

U.S. Bank is a reputable and established financial institution that plays a significant role in the banking sector. With a history spanning over 150 years, U.S. Bank has built a strong foundation of trust and reliability. As a comprehensive bank, they offer a wide array of financial products and services to cater to the diverse needs of their customers, including individuals, businesses, and communities. Customer satisfaction is of utmost importance to U.S. Bank. They prioritize delivering exceptional service and fostering long-term relationships with their clients. Through their extensive network of branches and advanced digital banking platforms, U.S. Bank ensures convenient access to their services, empowering customers to manage their finances efficiently and securely.

Industry

Banking and credit intermediation

Company size

10,000+ Employees

Headquarters location

Minneapolis, MN, US

Year founded

1863

Social media

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