ZipRecruiter

Log In

1

Volunteer Sec Compliance Jobs (NOW HIRING)

Partners Group

MI · Hybrid

Support the SEC-registered investment adviser compliance program through oversight of the execution ... Domestic and international events, including offsites and volunteer opportunities * Partners Group ...

Davenport & Company

Compliance Analyst

Richmond, VA · On-site

Knowledge of FINRA and SEC rules and regulations is a plus. * SIE, Series 7, and Series 66 Licensed ... volunteer opportunities during business hours. Reflected is the base pay range offered for this ...

Capgroup

Compliance Lead

Los Angeles, CA · On-site

$169K/yr

Whether you're raising a family, you're passionate about where you volunteer, or you want to ... You have experience with the applicable advertising rules (e.g., SEC Marketing Rule, FINRA 2210 and ...

New

FBL Financial Group

Compliance Field Advisor

... SEC, FINRA and MSRB rules and regulations. Who We Are: At Farm Bureau Financial Services, our ... We also offer paid time off, including holidays and volunteer time, as well as a company cell phone.

Franklin Templeton Investments

NY · On-site

$71.40 - $84/hr

Monitor accounts, track violations, and apply SEC requirements.* Escalate potential compliance ... volunteering / floating holidays) and a motivational wellbeing program. We expect the annual salary ...

New

previous pagenext page

Showing results 21-40

All JobsBusiness JobsOperations JobsCompliance Specialist JobsVolunteer Sec Compliance Jobs

Volunteer Sec Compliance information

See salary details

$64K

$148K

$234K

How much do volunteer sec compliance jobs pay per year?

As of Sep 2, 2026, the average yearly pay for volunteer sec compliance in the United States is $148,042.00, according to ZipRecruiter salary data. Most workers in this role earn between $126,000.00 and $169,000.00 per year, depending on experience, location, and employer.

What is a Volunteer SEC Compliance?

Volunteer SEC Compliance roles involve assisting organizations in adhering to the regulations set by the U.S. Securities and Exchange Commission (SEC). Volunteers in these positions may help with tasks such as reviewing documents for compliance, supporting internal audits, and ensuring that reporting practices meet legal standards. These roles are typically unpaid and are often found in non-profit organizations, educational institutions, or pro-bono projects. Individuals in these positions usually have a background in finance, law, or compliance and gain valuable experience in securities regulation. This experience can be an excellent stepping stone for those interested in a career in compliance or securities law.

What are the key skills and qualifications needed to thrive as a Volunteer SEC Compliance?

To thrive as a Volunteer SEC Compliance officer, you need a strong understanding of securities regulations, compliance procedures, and risk management, often supported by a background in finance or law. Familiarity with compliance management systems, regulatory reporting tools, and sometimes certifications like Certified Securities Compliance Professional (CSCP) is valuable. Attention to detail, strong ethical judgment, and effective communication skills are essential soft skills in this role. These competencies are critical to ensuring organizational adherence to regulations, minimizing legal risks, and maintaining stakeholder trust.

What are some typical challenges faced by Volunteer SEC Compliance, and how can they be addressed?

Volunteer SEC Compliance professionals often face the challenge of staying up-to-date with frequently changing regulations and ensuring that all organizational activities comply with Securities and Exchange Commission (SEC) requirements. This can be especially demanding in a volunteer capacity, where resources and formal training may be limited. Successful compliance volunteers often rely on strong communication and collaboration with legal and finance teams, as well as continuous professional development through online resources and industry seminars. Building a network with other compliance professionals can also help in sharing best practices and staying informed about regulatory updates.

What is the difference between Volunteer Sec Compliance vs Volunteer Data Privacy Officer?

AspectVolunteer Sec ComplianceVolunteer Data Privacy Officer
CredentialsSecurity certifications, compliance trainingData privacy certifications, legal knowledge
Work EnvironmentNonprofit organizations, compliance departmentsOrganizations handling sensitive data, legal teams
Industry UsageSecurity and compliance sectorsData protection and privacy sectors
Search & ComparisonOften compared for compliance rolesFocused on data privacy responsibilities

Volunteer Sec Compliance primarily focuses on ensuring organizational adherence to security standards and regulations, while Volunteer Data Privacy Officer emphasizes protecting personal data and ensuring privacy compliance. Both roles require specialized certifications and are common in organizations handling sensitive information, but they differ in their core focus areas and responsibilities.

More about Volunteer Sec Compliance jobs

What cities are hiring for Volunteer Sec Compliance jobs?

Cities with the most Volunteer 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 Volunteer Sec Compliance jobs?

States with the most job openings for Volunteer Sec Compliance jobs include:

What job categories do people searching Volunteer Sec Compliance jobs look for?

The top searched job categories for Volunteer Sec Compliance jobs are:

Volunteer Sec Compliance jobs near you
Infographic showing various Volunteer Sec Compliance job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 83% Full Time, 12% Part Time, and 4% Contract. Highlights an 93% Physical, 2% Hybrid, and 5% Remote job distribution, with an average salary of $148,042 per year, or $71.2 per hour.

Senior Associate, Compliance

Aristotle Capital Management

Los Angeles, CA • On-site

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted 22 days ago

Job description

Join Our Team at Aristotle
Who We Are
Aristotle is a majority employee-owned investment management organization with offices in Los Angeles, Newport Beach, Boston, and Sarasota. We specialize in equity and fixed income portfolio management for institutional and advisory clients around the world. Our mission is to help clients achieve their long-term financial goals through active portfolio management and a research-driven investment framework. Aristotle attracts and retains talented investment professionals through a culture focused on research, investment management and client success.
What You’ll Do
This individual should be a dynamic self-starter who will support the firm's registered investment adviser compliance program, including marketing review, regulatory filings, policies and procedures, compliance monitoring, client and regulatory reporting and other compliance initiatives in adherence to the Investment Advisers Act of 1940, the Investment Company Act of 1940, SEC rules and regulations and other applicable regulatory requirements.
Key Responsibilities:
  • Participate in compliance review of firm marketing and advertising materials to comply with SEC rules and regulations, including the SEC Marketing Rule.
  • Collaborate with marketing and client relationship personnel on workflow improvements and address specific business needs.
  • Lead reviews of Code of Ethics disclosures and reporting by employees to ensure completeness and accuracy.
  • Policy: Compliance Manual and Code of Ethics
    • Recognize opportunities to enhance and improve existing policies and procedures.
    • Assist with the development of new policies to address regulatory requirements and evolving business needs.
  • Respond to due diligence questionnaires and compliance reporting requests.
  • Assist with the preparation of regulatory filings.
  • Stay current with recent compliance, regulatory and legal issues, trends and upcoming developments in the asset management industry.
  • Assist in translating regulatory developments into practical guidance and policy updates.
  • Serve as a compliance point of contact to address a broad range of internal and external inquiries.
  • Conduct periodic vendor due diligence reviews and related oversight activities.
  • Support compliance monitoring, testing and annual review activities under Rule 206(4)-7.
  • Provide back-up support to other Compliance team members as needed.
  • Participate in Compliance Department initiatives and ad-hoc projects.
What You’ll Bring
We recognize that not all candidates will meet every requirement. If you’re passionate about this role and believe you have the skills to succeed, we encourage you to apply.
Qualifications:
  • Bachelor’s degree from an accredited college or university required.
  • 3-5 years of financial industry experience, preferably with an asset manager or similar financial services institution.
  • Excellent working knowledge and understanding of the asset management industry.
  • Experience with the Investment Advisers Act of 1940, Investment Company Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934.
  • Working knowledge of the SEC Marketing Rule.
  • Strong analytical and problem-solving skills to identify and address compliance issues effectively.
  • Exceptional attention to detail with a strong focus on accuracy and compliance.
  • Candidates must possess a high level of integrity and strong work ethic.
  • Good judgement and ability to make timely and sound decisions.
  • Excellent verbal and written skills, including the ability to interact effectively with personnel at varying levels at the firm.
  • Ability to work independently, set priorities and manage multiple deadlines.
  • Advanced knowledge of common business applications (i.e., Microsoft Office Suite Products) required, ability to appropriately leverage AI tools.
  • Charles River and Star Compliance (or similar) program and software experience a plus.
What We Offer
  • Comprehensive health, dental, and vision insurance for you and your dependents
  • 401(k) with employer matching
  • Paid time off, including an annual Employee Volunteer Day
  • Life, Critical Illness, Disability, and Accidental Injury Insurance
  • Employee Assistance Program
  • Inclusive and supportive workplace culture
  • Company events and employee discount programs
Our Core Values
  • We place our clients’ interests first.
  • We act with integrity.
  • We achieve excellence through accountability and collaboration.
  • We empower our employees.
  • We are respectful.
  • We value community.
Location: Hybrid – Los Angeles, CA
Compensation Range: $90,000.00 - $110,000.00 plus discretionary bonus.
The pay range provided is a good faith estimate for the position at the time of posting. Actual compensation will be dependent on factors, including but not limited to, the individual’s qualifications, relevant experience, knowledge, skills, education, internal equity, and physical work location within the state.
Note: The above description identifies the essential job functions and skills needed by the person or persons assigned to this position. These job functions and skills are not intended to be a complete and exhaustive list of all responsibilities, duties and skills required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential job functions. The information contained herein is subject to change at the company's discretion. No phone calls. No agencies or recruiters.
Aristotle is an Equal Employment Opportunity Employer. Aristotle will consider for employment, qualified applicants with criminal histories in a manner consistent with the requirements of the Fair Chance Initiative for Hiring Ordinance.
Aristotle Capital Management, LLC, Aristotle Credit Partners, LLC, Aristotle Capital Boston, LLC, Aristotle Atlantic Partners, LLC, Aristotle Pacific Capital, LLC, and Aristotle Investment Services, LLC, are affiliated organizations. Each is an independent investment adviser separately registered under the Investment Advisers Act of 1940, as amended. Registration does not imply a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part 2, which is available upon request.
#LI-hybrid
 

We have updated our Privacy Policy. Please read the policy carefully. By using this website you are agreeing to the terms of our Privacy Policy. Click here to review the Privacy Policy.

Powered by JazzHR

xRWbi40HDB