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Securities Compliance Jobs (NOW HIRING)

Nscale

Director, Legal Securities Compliance

New York, NY · On-site

  • Medical

  • Dental

  • Vision

  • Retirement

  • PTO

About the Role We are seeking a Director, Securities Compliance to help strengthen and mature Nscale's securities and ethics compliance capability as the company scales. Reporting to the VP, ...

Goodspeed Merrill

Senior Corporate Securities Attorney

Englewood, CO · On-site

$144 - $160/hr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

S. federal and state securities compliance for domestic and foreign issuers, with a strong emphasis on private placements and exemptions from SEC registration. * Advise registered investment advisers ...

Goodspeed Merrill

Senior Corporate Securities Attorney

Englewood, CO · On-site

$144K - $160K/yr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

S. federal and state securities compliance for domestic and foreign issuers, with a strong emphasis on private placements and exemptions from SEC registration. * Advise registered investment advisers ...

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All JobsSecurities Compliance Jobs

Securities Compliance information

See salary details

$31.5K

$98.9K

$207.5K

How much do securities compliance jobs pay per year?

As of Aug 13, 2026, the average yearly pay for securities 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 is the difference between Securities Compliance vs Securities Analyst?

AspectSecurities ComplianceSecurities Analyst
CertificationsFINRA Series 7, 24, 63, 66Series 7, 63, 65/66 (optional)
Work EnvironmentRegulatory departments, compliance teamsResearch departments, investment firms
Employer & Industry UsageFinancial firms, broker-dealers, asset managersInvestment banks, asset management firms, brokerage firms

Both Securities Compliance and Securities Analyst roles require financial industry certifications and are found within similar environments. However, Securities Compliance focuses on ensuring adherence to regulations and internal policies, while Securities Analysts analyze market data and securities to provide investment recommendations. Understanding these differences helps professionals choose the right career path within the financial industry.

What are some common challenges faced by professionals in securities compliance, and how can applicants prepare to address them?

Professionals in securities compliance often encounter challenges such as keeping up with rapidly changing regulations, ensuring accurate record-keeping, and effectively communicating compliance requirements across various departments. Adapting quickly to regulatory updates and maintaining a proactive approach to risk management are essential. Applicants can prepare by staying current with industry trends, developing strong analytical and interpersonal skills, and gaining familiarity with compliance technologies. Collaboration with legal, audit, and business teams is also a key aspect of the role, so experience working cross-functionally is highly valuable.

What are the key skills and qualifications needed to thrive as a securities compliance professional?

To excel in Securities Compliance, a strong grasp of financial regulations, risk assessment, and industry standards is essential, often supported by a degree in finance, law, or a related field. Familiarity with regulatory reporting systems, compliance management software, and certifications such as the Certified Regulatory Compliance Manager (CRCM) are typically required. Exceptional attention to detail, ethical judgment, and effective communication skills help professionals navigate complex regulations and collaborate with various stakeholders. These competencies are vital to ensuring organizational adherence to laws, minimizing legal risks, and maintaining market integrity.

Is securities compliance a stressful job?

Securities compliance can be stressful due to the high responsibility of ensuring adherence to complex regulations and avoiding legal penalties. The role often involves tight deadlines, detailed audits, and staying current with evolving laws, which can contribute to work-related stress. However, it also offers a structured environment and opportunities for professional growth with relevant certifications like the Series 14 or 27.
More about Securities Compliance jobs
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What job categories do people searching Securities Compliance jobs look for? The top searched job categories for Securities Compliance jobs are:
Securities Compliance jobs near you
Infographic showing various Securities Compliance job openings in the United States as of August 2026, with employment types broken down into 86% Full Time, 7% Part Time, and 7% Contract. Highlights an 64% In-person, and 36% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Securities Compliance Examiner

SEC.gov | Pathways: Internship Program

Fort Worth, TX • On-site

$123K/yr

Full-time

Posted 20 days ago

Job description

The Division of Examinations is seeking Securities Compliance Examiners in the Office of Investment Advisers andInvestment Companies (IA/IC), Private Funds Unit (PFU) and Office of Clearance Settlement (OCS) in various locations. As a Securities Compliance Examiner, you will join a well-respected team that is responsible for supporting EXAMS' mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority.Qualifications:Applicants are responsible for confirming all required materials are submitted by the closing date of the announcement. Please check the How You Will Be Evaluated and Required Documents sections carefully, as missing documents will render the application incomplete and ineligible for review.
Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional, philanthropic, religious, spiritual, community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience. All qualification requirements must be met by the closing date of this announcement.

MINIMUM QUALIFICATION REQUIREMENT:

SK-13: Applicant must have at least one year of specialized experience equivalent to the GS/SK-12 level:
  1. Interpreting and applying the provisions of the Investment Advisers Act and/or the Investment Company Act, Securities Act of 1933, Securities Exchange Act of 1934 and any related rules and regulations and/or other federal securities rules; AND
  2. Participating in examinations, investigations, audits or internal compliance reviews of securities-related financial institutions such as broker-dealers, municipal advisors, national securities exchanges, transfer agents, investment advisers, investment companies, or clearing agencies; AND
  3. Performing reviews of procedures, practices, or records related to the issuance, distribution, and/or trading of securities.
SK-14: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level:
  1. Interpreting and applying the provisions of the Investment Advisers Act and/or the Investment Company Act, Securities Act of 1933, Securities Exchange Act of 1934 and any related rules and regulations and/or other federal securities rules; AND
  2. Performing examinations, investigations, audits or internal compliance reviews of securities-related financial institutions such as broker-dealers, municipal advisors, national securities exchanges, transfer agents, investment advisers, investment companies, or clearing agencies; AND
  3. Developing and implementing assessments of internal controls or internal risk management programs (such as enterprise or operational risk management).


ACCOMPLISHMENT RECORD COMPETENCIES: Your Accomplishment Record narratives should address the following competencies. See the How You Will Be Evaluated section below for more information:
Competency 1: Examwork - Effectively conducts examwork activities (whether onsite, correspondence, etc.) in a professional manner to procure information from an entity under examination.
Competency 2: Analysis and Risk Assessment - Analyzes information to assess an entity's level of risk for deficiencies in various focus areas.
Competency 3: Critical Thinking - Considers a variety of factors, general and subject matter-specific, when making decisions and determining next steps in a case.
Competency 4: Teamwork and Collaboration - Interacts with internal and external others in a manner that advances examinations and agency goals and objectives.

Education:This job does not have an education qualification requirement.Employment Type: OTHER

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