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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 support@thenextreg.com

Job Type: Contract

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

Experience

SEC compliance : 3 years (Preferred)

Work Location: Remote

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