SEC Compliance Consultant (1099 Contractor)

SEC Compliance Consultant (1099 Contractor)

About NextReg Compliance

NextReg Compliance is a leader in SEC compliance services for independent investment advisors, offering flexible, remote opportunities and cutting-edge technology integration.

Key Responsibilities

• Build and maintain strong client relationships.
• Review and update written policies, procedures, and codes of ethics (Rule 206(4)-7).
• Draft and customize compliance manuals to meet current regulations.
• Conduct annual reviews and mock audits.
• Prepare, review, and file regulatory documents (ADV, PF, 13F, NPX).
• Assist clients with compliance testing and surveillance.
• Oversee managed services (Communications, Marketing Reviews, Training).

Required Qualifications

• Bachelor’s degree in Finance, Business, Law, or related field.
• 3-5 years of direct, hands-on SEC compliance experience (RIA or consulting firm).
• Comprehensive knowledge of Investment Advisers Act of 1940 and SEC regulations.
• Track record managing ADV filings and annual reviews.
• Strong desire to automate and improve processes.

Desired Skills

• Interest in leveraging AI for compliance/technology innovation.
• Exceptional attention to detail.
• Analytical, clear communicator (written and verbal).
• Independent, organized, proactive.
• High ethical standards.

Position Details

• 1099 Independent Contractor, (flexible, remote).
• Competitive hourly rate ($40–$65/hr, commensurate with experience).
• Opportunity to grow into full-time as client needs expand.

To Apply

Submit resume and brief cover letter to [email protected]

Job Type: Contract

Pay: $4,000.00 - $5,000.00 per month

Experience

• SEC compliance : 3 years (Preferred)

Work Location: Remote