SEC Regulatory Matters Associate
Grant Thornton LLP
As an Associate in the SEC Regulatory Matters Group, a part of the firm’s Audit Quality and Risk group (AQR), you will expand your knowledge about SEC filings and assist the firm with fulfilling its PCAOB reporting obligations. Under the supervision of the senior team members, you will help track internal metrics, develop reports for senior leaders in the firm, coordinate with other internal teams to help comply with regulatory requirements, and support the cross-border filing review function for the firm. From day one, you’ll be empowered by our tools, technology, training, and support from other team members to take responsibility to produce quality work and help you achieve more, confidently.Your day to day may include: Track audit reports and consents issued by the Grant Thornton LLP or any other GTIL member firmsPCAOB reporting - Create PCAOB reports using the Firm’s tools; track forms filed with the PCAOB; cross-check filings with external databasesMonitor alerts related to change in Registrant’s Accountant, Bankruptcy, etc. Maintain certain databases and perform related internal reportingMonitor internal mailboxesComplete monthly billing packages and send related invoices Monitor Accounts Receivable and follow up, as necessaryMaintain Sharepoint sites and request new billing codesAssist with preparing and tracking PCAOB regulatory filingsTracking status and due dates of group projectsOther duties, as assignedYou have the following technical skills, qualifications, and abilities: Bachelor’s degree preferredProficient in MS Office SuiteExcellent organizational analytical, written and oral communication and interpersonal skillsStrong team work and attention to detailProject management experienceAbility to handle confidential informationAt Grant Thornton, we believe in making business more personal and building trust into every result – for our clients and you. Here, we go beyond your expectations of a career in professional services by offering a career path with more: more opportunity, more flexibility, and more support. It’s what makes us different, and we think being different makes us better. In the U.S., Grant Thornton delivers professional services through two specialized entities: Grant Thornton LLP, a licensed, certified public accounting (CPA) firm that provides audit and assurance services ― and Grant Thornton Advisors LLC (not a licensed CPA firm), which exclusively provides non-attest offerings, including tax and advisory services. In 2025, Grant Thornton formed a multinational, multidisciplinary platform with Grant Thornton Ireland. The platform offers a premier Trans-Atlantic advisory and tax practice, as well as independent American and Irish audit practices. With $2.7 billion in revenues and more than 50 offices spanning the U.S., Ireland and other territories, the platform delivers a singular client experience that includes enhanced solutions and capabilities, backed by powerful technologies and a roster of 12,000 quality-driven professionals enjoying exceptional career-growth opportunities and a distinctive cross-border culture. Grant Thornton is part of the Grant Thornton International Limited network, which provides access to its member firms in more than 150 global markets.Full timePosting Date: 2026-10-02
$93k - $171.3k
...operate at the intersection of regulatory compliance and client service... ...of simultaneous consultation matters. If this sounds exciting,... ...Securities and Exchange Commission (SEC), and Public Company... ...applicable geographic differential associated with the location at which...SuggestedWork at officeVisa sponsorship$102.85k - $133.1k
...together because what we do matters. We provide the financial infrastructure... ...areas.Role OverviewJoin the Regulatory Advisor and Interpretations... ...U.S. Exchange rule filings, SEC and CFTC rulemaking, and... ...your communities Some of our associates’ favorite benefits and perks...SuggestedFull timeContract workWork at officeImmediate start$260k - $390k
...Job Description Job Description Health Care Regulatory Associate Attorney Chicago, IL | Hybrid Salary: $260,000 - $390,000+ A nationally... ...on complex regulatory, compliance, and operational matters within the evolving health care landscape. Qualifications...SuggestedWork at office- ...hybrid role with a broad mandate across regulatory compliance, with particular emphasis on compliance... ...professionals on ongoing compliance matters Qualifications 7 to 10 years of... ...the Investment Advisers Act of 1940 and SEC requirements Demonstrated experience conducting...Suggested
$165k - $220k
...Compliance Department also manages the Firm's regulatory profile under relevant securities laws on... ...submissionsActing as a subject matter expert overseeing implementation, monitoring... ...documents to ensure that these materials meet SEC advertising regulations and other...SuggestedContract workTemporary workWork at office- ...Description Chicago | Hybrid Insurance Transactional & Regulatory Associate Attorney AmLaw 50 Opportunity Compensation $235,000 – $375... ...sophisticated clients in complex insurance regulatory and transactional matters. Ideal Background • 3+ years of insurance regulatory,...Work at office
- ...ideal candidate for this position must be experienced with SEC and broker-dealer regulatory compliance requirements, options trading, risk-based... ...interpretations and provide guidance on non-routine and often complex matters.Assist with compliance training programs for employees to...Full timeRemote work2 days per week
- ...review, corporate governance administration, regulatory support, and legal operations management.... ...estate, and development-related legal matters. Support legal needs of affiliate... ...the firm's compliance program under FINRA, SEC, MSRB, and applicable state regulations....Permanent employmentContract workWork experience placementH1bWork at office
$100k - $130k
...technology aligned with Securities and Exchange Commission (SEC) regulation, industry standards, and internal policy... ...problem-solving to take ownership in a fast-moving regulatory environment, where the details really matter. Responsibilities Support efforts responding to...Full timeWork at officeMonday to Friday$59.3k - $98.8k
...the recognition we care about most comes from our team members, who make this place what it is. We also know that flexibility matters. Our hybrid work model gives you space to focus and the flexibility to live your life — asking team members to be onsite at least two...Full timeWork at officeLocal area2 days per week$145k - $150k
...where the company values your time? A high-end firm that was just rated one of the top places to work in Chicago just created a new SEC Reporting Manager. Which may seem pretty standard…until you get to the best part: The perks.1) The pay rates are above what their top...Work from home$94k - $110k
...teams. What You’ll Do Operationalize the regulatory framework around a new business activity,... ...teams. Demonstrate strong subject matter expertise, while allowing for out-of-the-... ...an investment adviser Understanding of SEC Investment Advisers ‘40 Act and FINRA and...Work at officeFlexible hoursShift work3 days per week$120k - $135k
...Evaluate materials for compliance with the SEC Marketing Rule, FINRA communications... ...and firm policies. Identify and resolve regulatory and reputational risks involving performance... ...Escalate novel, complex, or higher-risk matters to compliance leadership and other subject...Permanent employmentWork at officeLocal areaWork from homeMonday to Thursday- ...Consultant - Financial Reporting with strong experience in U.S. GAAP, SEC reporting, fund financial statements, and derivatives to support... ...Review staff work and provide guidance on financial reporting matters What We’re Looking For: 6-8+ years of recent experience in...Work at office
$61.3k - $122.7k
...Abbott At Abbott, you can do work that matters, grow, and learn, care for yourself and... ...scientists. The Opportunity The Regulatory Affairs Specialist works out of our Abbott... ...product safety issues and product associated events are reported to U.S. regulatory agencies...Full timeWorldwideShift work$63k - $95k
## Regulatory Affairs SpecialistApplylocations: Oak Brooktime type: Full timeposted on: Posted... ...being processed.* Act as the subject matter expert for regulatory registrations and... ...certification is preferred* Knowledge of FSMA and associated requirements is preferred* CAPA and...Immediate startWorldwideFlexible hours- Sotera Health Company in Oak Brook is seeking a Regulatory Affairs Specialist to support regulatory strategy, prepare listings, and ensure... ..., training Customer Service staff, and acting as a subject matter expert in regulatory registrations. Competitive pay and a comprehensive...
- ...Investor Relations, and senior management on a wide range of regulatory and compliance matters while helping shape best practices across the firm.... ...regulatory filings, including Form ADV, Form PF, and other SEC/CFTC reporting requirements. Conduct ongoing compliance...Work at office
$36.04 - $42.4 per hour
...determined by experience, skills and internal equity. This is a Salaried position. Overview POSITION SUMMARY The Regulatory Affairs Specialist serves as the subject matter expert (SME) for all accreditation, certification, and regulatory programs (e.g., TJC, IDPH, specialty...$115k - $125k
...needs to be better—help us figure out how to fix it."You should be able to assess the current state, identify gaps, prioritize what matters, develop a practical solution, gain stakeholder buy-in, and then drive the work through implementation.We're particularly...Contract workTemporary workLocal areaFlexible hours- ...organized and detail-oriented Compliance Systems and Operations Associate to join our team. This position reports to the Director,... ...excellent communication and analytical skills.Serve as the subject matter technical expert and daily administrator of Compliance Department...Permanent employmentWork at officeLocal areaWork from homeMonday to Thursday
$80k
...within an importer environment. This role serves as the subject matter expert for U.S. Customs matters and the primary contact for all... ...and Supply Chain Compliance Manager. Responsibilities Regulatory and Compliance Management: Stay current on North American trade...Temporary workWork at office$67k - $99k
...of progressive responsibility in managing corporate compliance matters Law firm experience preferred Experience with Delaware and Illinois... ...other internet research tools Seniority level Seniority level Associate Employment type Employment type Full-time Job function Job...16 hoursFull timeWork experience placementWork at officeRemote work$80k - $130k
...Act of 1940 and the Investment Company Act of 1940 rules and regulations Review, analyze, and respond to regulatory inquiries, including those relating to the SEC and NFA/CFTC Review marketing materials, including advertising, sales literature, correspondence, and RFP/...Local areaWorldwideShift work- ...limited to DECCS, Snap-R, and ACE Portal. and aid in training and resolving issues and errors. Provide guidance on operational level matters such as Schedule B and Harmonized Tariff classifications. Understand department process flows, constantly looking for areas of...Full timeWork at office
- ...This role is responsible for ensuring adherence to applicable regulatory frameworks while strengthening internal controls, mitigating risk... ...of financial regulatory frameworks such as FINRA, NFA, SEC or CFTC. Proven experience building or managing compliance programs...
- ...cleanroom monitoring, and resolving contamination issues to ensure consumer safety and regulatory compliance. Must have experience/working knowledge in QC, QA, cGMP, ISO, FDA, EPA, and OSHA matters. Duties & Responsibilities 1.Environmental monitoring, water testing (e.g....
$24 - $26 per hour
...that undeniably stands out. Every day our associates have the opportunity to collaborate... ...with on-site and corporate staff to ensure regulatory compliance with housing programs are met... ...Authority and State Agency staff concerning any matters pertaining to compliance, inspections,...Hourly payFull timeTemporary workPart timeLocal area$21 - $25 per hour
...that undeniably stands out. Every day our associates have the opportunity to collaborate... ...with on-site and corporate staff to ensure regulatory compliance with housing programs are met... ...Authority and State Agency staff concerning any matters pertaining to compliance, inspections,...Hourly payFull timeTemporary workPart timeLocal area$65k
...and search built on proven AI, AlphaSense delivers insights that matter from content you can trust. Our universe of public and private... ...actionable insights while maintaining the highest legal and regulatory standards. About the Role: As a Compliance Analyst, you will play...Local area
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