SEC Compliance & Regulatory Risk Manager
Kestra Financial
Plymouth, MA · Posted November 2, 2026
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How AI is used in this kind of work
Among financial risk specialists, AI is already used for some of the tasks. Measured exposure for financial risk specialists: 26% (some).
Share of this job’s tasks that AI is already used for at work, from real usage. It is not a forecast of job loss, and a low number means no use seen yet. Source: Anthropic Economic Index.
About the job
...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...