SEC Compliance Consultants, Inc. (SEC3) helps organizations bridge the SEC compliance knowledge gap.  SEC3 is a regulatory compliance consulting firm serving investment advisers, private funds, investment companies and CPOs and CTAs since 2003.  SEC3 specializes in SEC, FINRA, CFTC, NFA and other securities regulations.

Our team has over 100 years of combined experience in investment management regulation and compliance. Our professionals have served as SEC regulators, chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators.


Job Description:

The Compliance Consultant will serve as a pivotal member of our compliance consulting services. The Compliance Consultant will be responsible for assisting in the management of compliance programs for a variety of SEC registered investment advisers. Additionally, the Compliance Consultant will also be responsible for:






To apply, please email your resume to