SEC Compliance & Regulatory Risk Manager
Listed on 2026-10-20
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Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Risk Manager/Analyst -
Management
Regulatory Compliance Specialist, Risk Manager/Analyst
Kestra Financial, Inc. in Plymouth, MA seeks a seasoned compliance leader to oversee the SEC program, regulatory examinations, and filings.
You will guide management on risks, ensure internal policies are followed, and supervise audits and licensing matters to strengthen the firm’s regulatory posture. The role emphasizes risk assessment, policy implementation, and cross-functional coordination within a large financial services environment.
Our team is growing, and we are hiring a SEC Compliance & Regulatory Risk Manager in Plymouth, MA, United States.
Step into the SEC Compliance & Regulatory Risk Manager role at Kestra Financial, Inc. in Plymouth, MA, United States and grow with us.
Please review the full job details above before applying.
If your experience matches this role, we encourage you to apply.
All applications are reviewed carefully by our team.
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