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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 ...

Advantage Life Insurance

PR · On-site

DOE Job Overview The Compliance Associate supports the BSA/AML and OFAC Program (Compliance Program) across the following regulated businesses: Advantage International Bank Corp., Advantage Life ...

Robert Half

Compliance Associate

Elmhurst, IL · On-site

$80K - $85K/yr

To apply to this hybrid role please send your resume to john.sadofsky@roberthalf.c0m We are seeking a Compliance Associate to join our team in Elmhurst, Illinois. This role is pivotal in upholding ...

XYPN

Compliance Associate

$53K - $63K/yr

About the role As a Compliance Associate, you will support the day-to-day operation of Sapphire's compliance program. Your work will include advisor communications and advertising review, ongoing ...

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 ...

Albanymed

Compliance Associate

Albany, NY

$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 ...

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 ...

New

Heartland Bank and Trust Company

$73K - $87K/yr

The Senior Compliance Associates will be part of the Compliance Department of the Risk Management Division where the primary focus is helping to protect the Bank against undue risk exposure. What you ...

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How much do compliance associate jobs pay per hour?

As of Aug 11, 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 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 sometimes certifications like Certified Compliance & Ethics Professional (CCEP) can enhance job prospects.

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 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 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 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.

More about Compliance Associate jobs
What cities are hiring for Compliance Associate jobs? Cities with the most Compliance Associate job openings:
What are the most commonly searched types of Compliance jobs? The most popular types of Compliance jobs are:
Who are the top companies hiring for Compliance Associate jobs? The top employers for Compliance Associate jobs are:
What states have the most Compliance Associate jobs? States with the most job openings for Compliance Associate jobs include:
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, 83% Full Time, 11% Part Time, and 5% Contract. Highlights an 93% Physical, 2% Hybrid, and 5% Remote job distribution, with an average salary of $73,648 per year, or $35.4 per hour.

Compliance Associate

Gilder Gagnon Howe & Co. (GGHC)

New York, NY • On-site

$130K - $150K/yr

Full-time

Posted 15 days ago

Job description

About the Firm:

Founded in 1968, Gilder Gagnon Howe & Co., LLC ("GGHC") is a registered investment adviser and broker-dealer giving individuals who possess long-term patience and fortitude an opportunity to create wealth. Our clients are individuals who reach us by referral and give us a portion of their capital they wish to invest aggressively. We seek to grow our clients' capital through active research and trading of securities in their separately managed accounts.

Our team of approximately 90 employees is based on the west side of Manhattan in Hudson Yards. We are a firm united by our belief in growth investing for the long term. Each money manager is responsible for his or her own investment decisions. They are aided by analyst colleagues who scour the market for growth opportunities; allocators who help execute investment decisions and assist clients; and traders who connect us to the markets.The Firm's service to clients is possible because of a focused group of individuals working within operations, systems, development, finance, human resources, and compliance.

Job Summary:

GGHC is seeking a detail-oriented, proactive Compliance Associate to join its compliance team. The Compliance Associate will support the firm's compliance efforts by helping ensure adherence to applicable laws, regulations, and internal policies and procedures. This role will assist with employee activity monitoring, support regulatory filings, audits and inquiries, policy and procedure maintenance, compliance training, and other core compliance functions.

Code of Ethics & Employee Compliance

  • Code of Ethics Administration: Assist in administering the firm's Code of Ethics program (SEC Rule 204A-1 / FINRA rules), including oversight of annual employee attestations and certification processes.

  • Employee Activity Surveillance: Conduct routine monitoring, trade reviews, and escalation processes for personal securities transactions, Outside Business Activities (OBAs), Private Securities Transactions (PSTs), and Gifts & Entertainment.

  • Policy Enhancement: Support the implementation, maintenance, and ongoing enhancement of employee compliance policies to ensure full alignment with regulatory updates and firm standards.

Compliance Testing & Discretionary Account Surveillance

  • Periodic Testing Program: Execute periodic testing under the firm's SEC Rule 206(4)-7 and FINRA Rule 3120/3110 supervisory control programs.

  • Discretionary SMA Monitoring: Perform routine surveillance on discretionary account trading and commission structures, best execution, and trade allocation policies.

  • Daily Operations: Support daily compliance workflows, trade monitoring alerts, and operational department initiatives.

Manuals, Regulatory Filings

  • Manual Maintenance: Assist the Chief Compliance Officer (CCO) with implementing the core compliance program, updating the RIA Compliance Manual, Written Supervisory Procedures (WSPs), and desktop procedures as needed.

  • Regulatory Disclosures: Prepare, update, and file key regulatory disclosure documents, including Form ADV (Parts 1 & 2), Form BD, and Form CRS.

  • Regulatory Intelligence: Monitor SEC and FINRA regulatory developments, maintain current knowledge of industry changes, and analyze their operational impact on firm policies and procedures.

Regulatory Audits, Training & Support

  • Training & CE Oversight: Coordinate and deliver compliance training for registered and unregistered personnel, including oversight of required Regulatory Element and Firm Element Continuing Education (CE) courses.

  • Audit & Exam Support: Assist the CCO in preparing for regulatory examinations (SEC, FINRA), managing document requests, and executing firm-wide compliance projects.

  • Special Projects: Provide active support for ad hoc compliance initiatives and cross-functional firm projects.

Required Skills and Qualifications:

  • Must successfully obtain the FINRA SIE, Series 7, and Series 24 licenses within the first nine (9) months of employment.

  • 3-5 years of direct compliance experience at an SEC-registered RIA, FINRA Broker-Dealer or dual-registered firm.

  • Experience with trade monitoring and compliance platforms.

  • Strong analytics and drafting skills; ability to manage multiple regulatory deadlines in a fast-paced environment.

  • Strong verbal and written communication skills, with the ability to communicate complex compliance topics clearly and effectively.

  • Detail-oriented with the ability to manage multiple priorities, meet deadlines, and follow through on open items.

Salary Range: $130,000 - $150,000Employment Type: Full-Time

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