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Entry Level Investment Compliance information

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$27K

$49.5K

$84K

How much do entry level investment compliance jobs pay per year?

As of Aug 21, 2026, the average yearly pay for entry level investment compliance in the United States is $49,486.00, according to ZipRecruiter salary data. Most workers in this role earn between $36,000.00 and $57,000.00 per year, depending on experience, location, and employer.

What is an entry level investment compliance job?

Entry level investment compliance jobs are positions focused on ensuring that investment firms and their employees adhere to legal, regulatory, and internal policies. Individuals in these roles help monitor trading activities, review documentation, and report any potential violations. They often work under the guidance of more senior compliance professionals and play a key part in helping organizations manage risk and maintain integrity in financial operations. These positions typically require strong analytical skills, attention to detail, and an understanding of financial regulations. Entry level roles are a common starting point for those interested in compliance careers within the finance industry.

What are the key skills and qualifications needed to thrive as an entry level investment compliance professional?

To thrive as an Entry Level Investment Compliance professional, you typically need a bachelor's degree in finance, accounting, or a related field, along with strong analytical and attention-to-detail skills. Familiarity with regulatory frameworks (such as SEC, FINRA), compliance management systems, and Microsoft Excel is important, and some roles value certifications like the Investment Compliance Certificate. Strong organizational skills, integrity, and effective communication help you stand out in this position. These skills and qualities are essential to accurately monitor investment activities, ensure regulatory adherence, and maintain the firm's reputation.

What are some common challenges faced by entry level investment compliance professionals?

Entry-level professionals in investment compliance often encounter challenges such as quickly understanding complex regulatory frameworks and adapting to frequent changes in industry rules. They are responsible for reviewing investment activities to ensure adherence to internal policies and external regulations, which requires strong attention to detail and the ability to interpret legal documents. Collaboration with portfolio managers and legal teams is frequent, and effective communication is essential for identifying and resolving compliance issues. Over time, these experiences provide a strong foundation for advancing to more senior compliance or risk management positions.

What is the difference between Entry Level Investment Compliance vs Entry Level Investment Operations?

AspectEntry Level Investment ComplianceEntry Level Investment Operations
Required CredentialsBachelor's degree, possibly some certifications like CFTC or FINRABachelor's degree, often no specific certifications required
Work EnvironmentRegulatory-focused, compliance departments within financial firmsOperational departments handling trade processing and client accounts
Employer & Industry UsageFinancial firms, asset managers, hedge fundsBrokerages, asset management firms, banks
Common Search & Comparison IntentUnderstanding compliance roles in financeUnderstanding operational roles in finance

Entry Level Investment Compliance focuses on ensuring firms adhere to regulations and internal policies, requiring knowledge of compliance standards and certifications. Entry Level Investment Operations involves processing trades, managing accounts, and supporting daily transaction activities. While both roles are entry-level and within the finance industry, compliance roles emphasize regulatory adherence, whereas operations focus on transaction processing and client service.

More about Entry Level Investment Compliance jobs

What are the most commonly searched types of Investment Compliance jobs?

The most popular types of Investment Compliance jobs are:

What states have the most Entry Level Investment Compliance jobs?

States with the most job openings for Entry Level Investment Compliance jobs include:

What job categories do people searching Entry Level Investment Compliance jobs look for?

The top searched job categories for Entry Level Investment Compliance jobs are:

Entry Level Investment Compliance jobs near you
Infographic showing various Entry Level Investment Compliance job openings in the United States as of August 2026, with employment types broken down into 80% Full Time, and 20% Part Time. Highlights an 100% In-person job distribution, with an average salary of $49,486 per year, or $23.8 per hour.

OGC Assistant - Bar Compliance

Latham & Watkins LLP

Washington, DC • On-site

$65K/yr

Full-time

Medical, Life, Retirement, PTO

Posted 5 days ago

Latham & Watkins rating

8.5

Company rating: 8.5 out of 10

Based on 5 frontline employees who took The Breakroom Quiz

13th of 34 rated law firms

Job description

About Latham & Watkins
Latham & Watkins is one of the world's leading global law firms advising the businesses and institutions that drive the global economy. We are the market leaders in major financial and business centers around the world. Our investment in people, commitment to innovation, and focus on the future empower you to build an incredible career and thrive as an exceptional professional in a supportive culture. If you aspire to be the best, and work with the best, this is where you belong.
About the Role
The OGC Assistant - Bar Compliance is an integral part of Latham's Office of the General Counsel team. This role will be responsible for supporting the firm's global bar admissions and registration compliance program and reports to the OGC Supervisor - Bar Compliance. This role will be located in our Washington, D.C. office. Please note that this role may be eligible for a flexible working schedule that allows for a hybrid and in-office presence.
Responsibilities & Qualifications
Other key responsibilities include:
  • Maintaining the firm's bar admissions database
  • Verifying attorney bar credentials
  • Compiling and maintaining global bar admissions statistics
  • Assisting with projects involving bar admissions
  • Managing the archive of all attorney practice certificates/certificates of good standing
  • Monitoring the admission progress of attorneys, maintaining a tracking spreadsheet used to assist with the process
  • Communicating bar admissions policies and procedures to attorneys and teams
  • Protecting and maintaining any highly sensitive, confidential, privileged, financial, and/or proprietary information that Latham & Watkins retains

We'd love to hear from you if you:
  • Possess strong analytical and organizational skills
  • Exhibit great attention to detail
  • Enjoy working in a collaborative environment
  • Demonstrate an advanced ability to perceive and analyze problems, and develop alternative strategies to solve them

And have:
  • A bachelor's degree
  • A minimum of one (1) year of bar compliance experience at a law or professional services firm, preferably

Benefits & Additional Information
Successful candidates will not only be provided with an outstanding career opportunity and welcoming environment, but will also be provided with a generous total compensation package with bonuses awarded in recognition of both individual and firm performance. Eligible employees can participate in Latham's comprehensive benefit program which includes:
  • Healthcare, life and disability insurance
  • A generous 401k plan
  • At least 11 paid holidays per year, and a PTO program that accrues 23 days during the first year of employment and grows with tenure
  • Well-being programs (e.g. mental health services, mindfulness and resiliency, medical resources, well-being events, and more)
  • Professional development programs
  • Employee discounts
  • Affinity groups, networks, and coalitions for lawyers and staff

Latham & Watkins is an equal opportunity employer. The Firm prohibits discrimination against any employee or applicant for employment on the basis of race (including, but not limited to, hair texture and protective hairstyles), color, religion, sex, age, national origin, sexual orientation, gender identity, veteran status (including veterans of the Vietnam era), gender expression, marital status, or any other characteristic or condition protected by applicable statute.
Please click here to review your rights under U.S. employment laws. #EntryLevel #wayup #LI-CC2
Pay Range
USD $65,000.00 - USD $75,000.00 /Yr.

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