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Compliance Associate Jobs (NOW HIRING)

The Rockridge Group

Compliance Associate

Dallas, TX

Compliance Associate Location: Dallas, TX Company Description : Client X is a top-ranked global, independent fund administrator. Client X provides uniquely client-centric service and is the industry ...

SEI Investments

Compliance Associate

Oaks, PA

The Compliance Associate supports Asset Management Compliance through monitoring, testing, regulatory support, employee compliance administration, and operational activities across SEI Investments ...

New

Albanymed

Compliance Associate

Albany, NY · On-site

$70K - $108K/yr

Compliance Office Work Shift: Day (United States of America) Salary Range: $70,068.00 - $108,605.00 The Associate must possess education and experience to take complex ideas, analysis and results ...

Quincy Wells Group

Be Seen First

Compliance Associate

Chicago, IL · On-site

$65K - $90K/yr

About the Role Quincy Wells Group is seeking a Compliance Associate to support our compliance function across both our Broker Dealer and Registered Investment Advisor (RIA) businesses. Reporting ...

Addison Group

Risk & Compliance Associate

Chicago, IL · On-site

$50 - $60/hr

Risk & Compliance Associate Location: Chicago, IL Industry: Management Consulting Compensation: $50 - $60 / hour (Contract) Work Schedule: Monday-Friday, 8:00 AM-5:00 PM - HYBRID Benefits: This ...

Mazzoni Center

Compliance Associate

Philadelphia, PA · On-site

$60K/yr

The Compliance Associate is primarily responsible for assisting the Compliance Director with maintaining compliance with all laws and regulations of the healthcare and other respective industries ...

New York City Council

Compliance Associate

New York, NY · On-site

$75K/yr

The New York City Council is seeking to fill a Compliance Associate position within the Office of the General Counsel's Public Integrity Unit. The Public Integrity Unit safeguards the integrity of ...

Geode Capital Management

Compliance Associate

Boston, MA · Hybrid

$70K - $95K/yr

Reporting to the Director, Investment Compliance, the Compliance Associate is responsible for assisting in the monitoring of the firm's investment compliance program. This role will focus on the ...

New York Life

Compliance Associate

Manhattan, NY · Hybrid

$65K - $92K/yr

As a Compliance Associate, you will support risk management and compliance initiatives for corporate-owned, bank-owned, and retail life insurance products distributed primarily through third-party ...

AlphaSights

Legal & Compliance Associate

San Francisco, CA · On-site

$80K - $90K/yr

As a Legal & Compliance Associate, you will be joining our high-performing global Client Protection team (you can learn more about our Legal & Compliance team by watching a Legal & Compliance YouTube ...

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Compliance Associate information

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How much do compliance associate jobs pay per hour?

As of Aug 21, 2026, the average hourly pay for compliance associate in the United States is $35.41, according to ZipRecruiter salary data. Most workers in this role earn between $23.08 and $43.99 per hour, depending on experience, location, and employer.

What is a compliance associate?

A Compliance Associate is a professional responsible for ensuring that an organization adheres to internal policies, industry regulations, and legal requirements. They assist with monitoring business activities, conducting audits, preparing reports, and helping to implement compliance programs. By identifying and addressing potential risks, Compliance Associates help organizations avoid legal issues and maintain ethical standards. Their work is vital in industries like finance, healthcare, and corporate governance.

What is a compliance associate?

A compliance associate performs a variety of duties related to ensuring that a business follows all regulations, including those governing health, safety, accounting, and public relations. Your job duties include performing research about regulatory practices, assessing the company’s compliance with all laws and regulations, and promoting a variety of policy initiatives developed by human resources and other departments. You may also help the compliance department with audits and administrative tasks. The ideal qualifications for this career include having analytical problem-solving skills and attention to detail. A few years of related experience and a bachelor’s degree are typically preferred by employers.

What are some common challenges compliance associates face when adapting to new regulations?

Compliance Associates often encounter the challenge of keeping up with frequent changes in laws and industry regulations. This requires continuous learning and the ability to quickly interpret and implement new compliance standards within company policies and procedures. Collaborating closely with legal, audit, and operational teams is essential to ensure all departments are updated and aligned. Staying proactive and leveraging compliance management software can help manage these changes efficiently.

What are the key skills and qualifications needed to thrive as a compliance associate, and why are they important?

To thrive as a Compliance Associate, you need strong analytical abilities, attention to detail, and a solid understanding of regulatory frameworks, often supported by a degree in law, finance, or business. Familiarity with compliance management systems, regulatory databases, and certifications such as Certified Compliance & Ethics Professional (CCEP) are typically required. Excellent communication, integrity, and problem-solving skills help build trust and ensure effective collaboration across departments. These capabilities are crucial to help organizations mitigate risk, maintain legal standards, and foster a culture of ethical conduct.

What is the difference between Compliance Associate vs Compliance Analyst?

AspectCompliance AssociateCompliance Analyst
Required CredentialsBachelor's degree, certifications like CCEP or CAMS often preferredSimilar credentials, often with additional certifications like CRCM or CIA
Work EnvironmentFinancial institutions, healthcare, or corporate compliance teamsRegulatory agencies, financial firms, or consulting firms
Employer & Industry UsageCommon in banking, healthcare, and corporate sectorsUsed in finance, banking, and regulatory bodies
Search & Comparison IntentPeople compare to Compliance Analyst to understand role differencesOften compared to Compliance Associate for role scope and responsibilities

Compliance Associates and Compliance Analysts share similar educational backgrounds and work environments, often within financial or healthcare sectors. While both roles focus on ensuring adherence to regulations, Compliance Analysts typically handle more complex analysis and reporting tasks. Understanding these differences helps job seekers and employers clarify role expectations and requirements.

What degree do I need to work in compliance?

A compliance associate typically needs at least a bachelor's degree in fields such as business, finance, law, or a related area. Relevant skills include knowledge of regulations and strong attention to detail, and certifications like Certified Compliance & Ethics Professional (CCEP) can enhance job prospects.
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Compliance Associate jobs near you
Infographic showing various Compliance Associate job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 84% Full Time, 11% Part Time, and 4% Contract. Highlights an 92% Physical, 3% Hybrid, and 5% Remote job distribution, with an average salary of $73,648 per year, or $35.4 per hour.

Compliance Associate

Valeo Financial Advisors

Carmel, IN • On-site

Full-time

Re-posted 29 days ago

Job description

Position Reports to: Chief Compliance Officer (CCO)
Department: Compliance
Location: Carmel, IN
Exemption Status: E

Position Overview:

The Compliance Associate will assist the Chief Compliance Officer in executing the firms compliance program in accordance with the Investment Advisers Act of 1940. This position is responsible for helping maintain the firms policies and procedures, performing regular compliance reviews, supporting regulatory filings, and assisting with internal education and audits.

The ideal candidate is highly organized, deadline-driven, and has experience working in the compliance department of a financial services firm.


Duties and Responsibilities:

  • Support the implementation, testing, and documentation of the firms compliance policies and procedures.
  • Conduct regular surveillance and forensic testing (e.g., personal trading, email review, advertising/marketing review, code of ethics).
  • Maintain compliance calendars and logs to track regulatory filings, attestations, training, and policy review deadlines.
  • Monitor marketing materials, social media content, and client communications for regulatory compliance under the SEC Marketing Rule.
  • Assist with onboarding/offboarding processes for employees and access persons, including compliance training.
  • Support the due diligence process on vendors, custodians, and other third-party service providers.
  • Respond to compliance-related questions from team members and help promote a culture of compliance.
  • Participate in internal audits and regulatory exams, gathering documentation and preparing responses.
  • Stay current with regulatory developments and industry best practices to identify areas of risk or improvement.

Desired Qualifications:

  • Bachelors degree or higher from an accredited college or university
  • 25 years of experience in financial services compliance, preferably with an RIA
  • Working knowledge of the Investment Advisers Act of 1940
  • Excellent organizational, communication, and analytical skills
  • High attention to detail and strong ethical standards
  • Proficient in Microsoft Office Suite and compliance technology platforms such as ComplySci

Apply