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Ethic Compliance Advisor Jobs (NOW HIRING)

ADP, Inc.

Compliance Specialist

Independence, OH · On-site

$60 - $80/hr

... adviser. * Experience with systems such as MCO, Smarsh, and Microsoft Office applications ... Professional demeanor, strong work ethic, and high personal integrity. #J-18808-Ljbffr

Insurance Administrative Solutions, L.l.c.

$80 - $100/hr

Minimum of 5 years of broker-dealer and investment adviser brokerage operations, supervision, or ... Proven work ethic with a high level of integrity to build trust with our clients and colleagues

Neuberger Berman

Compliance Analyst

Manhattan, NY · On-site

$80 - $100/hr

Participate in compliance testing as part of the firm's overall Investment Advisers Act Rule 206(4) ... Collaborative team player with a strong work ethic and high integrity * Excellent interpersonal and ...

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How much do ethic compliance advisor jobs pay per year?

As of Sep 9, 2026, the average yearly pay for ethic compliance advisor in the United States is $95,687.00, according to ZipRecruiter salary data. Most workers in this role earn between $81,500.00 and $110,500.00 per year, depending on experience, location, and employer.

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Infographic showing various Ethic Compliance Advisor 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 89% Physical, 2% Hybrid, and 9% Remote job distribution, with an average salary of $95,687 per year, or $46 per hour.

Compliance Specialist

Independence, OH • On-site

MAI WEALTH MANAGEMENT, INC.
See more jobs at MAI WEALTH MANAGEMENT, INC.external

$57K - $72K/yr

Full-time

Posted 11 days ago

Job description

GENERAL JOB DESCRIPTION

This position will work with the Chief Compliance Officer (CCO) and the rest of the Compliance Team to support activities within the compliance department. The activities will support the comprehensive compliance program and will vary.

 

MAJOR DUTIES AND RESPONSIBILITIES

  • Co-administer the Code of Ethics by monitoring employee trading, reviewing personal accounts, and managing certifications.
  • Review compliance reports, findings, and potential violations.
  • Support the internal office exam program by preparing materials, reviewing documents, and traveling to office locations as needed.
  • Provide guidance on gifts and entertainment, political contributions, and outside business activities.
  • Conduct surveillance and forensic testing, including trading reviews, billing checks, and assessments of best execution practices.
  • Administer the off-channel and personal device communications reviews, escalating exceptions, as necessary.
  • Support compliance applications for monitoring email, social media, and other communications. Provide QA metrics and assist with annual certification.
  • Serve as co-administrator for compliance platforms such as MyComplianceOffice (MCO).
  • Provide training to new employees, administer annual risk and compliance training, maintain training records, and report any violations.
  • Support the Regulation S-ID Identity Theft Prevention Program.
  • Stay current on regulatory changes and implement required updates across the firm.
  • Collaborate with departments such as Legal, Marketing, and Operations.
  • Assist in preparing and updating policies and procedures.
  • Assist in preparing RFP responses and compliance questionnaires for client due diligence.
  • Participate in key projects and support process improvements.
  • Assist with special projects assigned to the Compliance Department.
  • Perform other duties as needed to support the compliance program.

 

EXPERIENCE/CREDENTIALS

  • A minimum of 3+ years of experience in administration, operations, or compliance, preferably within an SEC registered investment adviser. 
  • Experience with systems such as MCO, Smarsh, and Microsoft Office applications.
  • Significant experience using Artificial Intelligence agents.




COMPETENCIES

  • Ability to multitask, prioritize, and meet deadlines in a fast-paced environment.
  • Team-oriented with a proactive and professional approach.
  • Ability to understand regulations and apply them effectively in a business context.
  • Skilled at using and adjusting to different software technologies.
  • Strong analytical, interpersonal, verbal, and written communication skills.
  • Commitment to maintaining client confidentiality, safeguarding data, and upholding high ethical standards.
  • The capability to extract and analyze data from different systems.
  • Professional demeanor, strong work ethic, and high personal integrity.