Compliance Associate
Carmel, IN · On-site
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 ...
Compliance Associate
Carmel, IN · On-site
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 ...
Compliance Associate
Carmel, IN · On-site
The Compliance Associate will assist the Chief Compliance Officer in executing the firm's compliance program in accordance with the Investment Advisers Act of 1940. This position is responsible for ...
Compliance Associate
Carmel, IN · On-site
The Compliance Associate will assist the Chief Compliance Officer in executing the firm's compliance program in accordance with the Investment Advisers Act of 1940. This position is responsible for ...
Wealth Advisor & Education Consultant
Indianapolis, IN · On-site
Medical
Life
Retirement
Develop and present investment policy statements and asset allocation recommendations * Coordinate ... * Assist with benefits fairs, open enrollments, retirement seminars, and employer-hosted ...
Wealth Advisor & Education Consultant
Indianapolis, IN · On-site
Medical
Life
Retirement
Develop and present investment policy statements and asset allocation recommendations * Coordinate ... * Assist with benefits fairs, open enrollments, retirement seminars, and employer-hosted ...
The Compliance Associate will assist the Chief Compliance Officer in executing the firm's compliance program in accordance with the Investment Advisers Act of 1940. This position is responsible for ...
The Compliance Associate will assist the Chief Compliance Officer in executing the firm's compliance program in accordance with the Investment Advisers Act of 1940. This position is responsible for ...
Financial Advisor w/ SR65
Elkhart, IN · Hybrid
$50K - $60K/yr
Life
PTO
Maintain investment policy statements and compliance documentation * Support portfolio reviews and ... Build trusted relationships with clients and referral sources * Assist with business development ...
Financial Advisor w/ SR65
Elkhart, IN · Hybrid
$50K - $60K/yr
Life
PTO
Maintain investment policy statements and compliance documentation * Support portfolio reviews and ... Build trusted relationships with clients and referral sources * Assist with business development ...
Client Service Associate
Indianapolis, IN · On-site
$50K - $65K/yr
Support the firm's initiatives, assist with any company-wide projects and activities, and attend ... Two years of relevant experience (Registered Investment Advisor or Broker/Dealer) is preferred
Client Service Associate
Indianapolis, IN · On-site
$50K - $65K/yr
Support the firm's initiatives, assist with any company-wide projects and activities, and attend ... Two years of relevant experience (Registered Investment Advisor or Broker/Dealer) is preferred
No7 Advisor (No7 Bonus)
Bedford, IN · On-site
Life
Retirement
We invest in your development through comprehensive training covering skin biology, ingredients ... Your journey could take you into roles such as Counter Manager or Assistant Manager, or into a wide ...
No7 Advisor (No7 Bonus)
Bedford, IN · On-site
Life
Retirement
We invest in your development through comprehensive training covering skin biology, ingredients ... Your journey could take you into roles such as Counter Manager or Assistant Manager, or into a wide ...
No7 Advisor (No7 Bonus)
Bedford, IN · On-site
Life
Retirement
We invest in your development through comprehensive training covering skin biology, ingredients ... Your journey could take you into roles such as Counter Manager or Assistant Manager, or into a wide ...
No7 Advisor (No7 Bonus)
Bedford, IN · On-site
Life
Retirement
We invest in your development through comprehensive training covering skin biology, ingredients ... Your journey could take you into roles such as Counter Manager or Assistant Manager, or into a wide ...
This position will facilitate the sales and service of securities, annuities, registered investment ... Respond timely to client and prospect requests. * Assist in the development of an annual sales plan.
Quick apply
This position will facilitate the sales and service of securities, annuities, registered investment ... Respond timely to client and prospect requests. * Assist in the development of an annual sales plan.
Financial Advisor
Muncie, IN · On-site
Medical
Dental
Vision
Retirement
PTO
This position will facilitate the sales and service of securities, annuities, registered investment ... Respond timely to client and prospect requests. * Assist in the development of an annual sales plan.
Financial Advisor
Muncie, IN · On-site
Medical
Dental
Vision
Retirement
PTO
This position will facilitate the sales and service of securities, annuities, registered investment ... Respond timely to client and prospect requests. * Assist in the development of an annual sales plan.
Financial Advisor
Muncie, IN · On-site
Medical
Dental
Vision
Retirement
PTO
This position will facilitate the sales and service of securities, annuities, registered investment ... Respond timely to client and prospect requests. * Assist in the development of an annual sales plan.
Financial Advisor
Muncie, IN · On-site
Medical
Dental
Vision
Retirement
PTO
This position will facilitate the sales and service of securities, annuities, registered investment ... Respond timely to client and prospect requests. * Assist in the development of an annual sales plan.
Financial Advisor
Merrillville, IN · On-site
Medical
Dental
Vision
Retirement
PTO
This position will facilitate the sales and service of securities, annuities, registered investment ... Respond timely to client and prospect requests. * Assist in the development of an annual sales plan.
Financial Advisor
Merrillville, IN · On-site
Medical
Dental
Vision
Retirement
PTO
This position will facilitate the sales and service of securities, annuities, registered investment ... Respond timely to client and prospect requests. * Assist in the development of an annual sales plan.
This position will facilitate the sales and service of securities, annuities, registered investment ... Respond timely to client and prospect requests. * Assist in the development of an annual sales plan.
Quick apply
This position will facilitate the sales and service of securities, annuities, registered investment ... Respond timely to client and prospect requests. * Assist in the development of an annual sales plan.
Financial Advisor
Merrillville, IN · On-site
Medical
Dental
Vision
Retirement
PTO
This position will facilitate the sales and service of securities, annuities, registered investment ... Respond timely to client and prospect requests. * Assist in the development of an annual sales plan.
Financial Advisor
Merrillville, IN · On-site
Medical
Dental
Vision
Retirement
PTO
This position will facilitate the sales and service of securities, annuities, registered investment ... Respond timely to client and prospect requests. * Assist in the development of an annual sales plan.
This position will facilitate the sales and service of securities, annuities, registered investment ... Respond timely to client and prospect requests. * Assist in the development of an annual sales plan.
Quick apply
This position will facilitate the sales and service of securities, annuities, registered investment ... Respond timely to client and prospect requests. * Assist in the development of an annual sales plan.
This position will facilitate the sales and service of securities, annuities, registered investment ... Respond timely to client and prospect requests. * Assist in the development of an annual sales plan.
Quick apply
This position will facilitate the sales and service of securities, annuities, registered investment ... Respond timely to client and prospect requests. * Assist in the development of an annual sales plan.
Serve on a team of Wealth Management professionals serving high-net-worth clients * Assist clients ... Investment Management * Education Planning * Estate & Legacy Planning Trust Administration
Serve on a team of Wealth Management professionals serving high-net-worth clients * Assist clients ... Investment Management * Education Planning * Estate & Legacy Planning Trust Administration
Client Service Associate
Indianapolis, IN · On-site
$50K - $65K/yr
Support the firm's initiatives, assist with any company-wide projects and activities, and attend ... Two years of relevant experience (Registered Investment Advisor or Broker/Dealer) is preferred
Client Service Associate
Indianapolis, IN · On-site
$50K - $65K/yr
Support the firm's initiatives, assist with any company-wide projects and activities, and attend ... Two years of relevant experience (Registered Investment Advisor or Broker/Dealer) is preferred
Client Service Associate
$50K - $65K/yr
Support the firm's initiatives, assist with any company-wide projects and activities, and attend ... Two years of relevant experience (Registered Investment Advisor or Broker/Dealer) is preferred
Quick apply
Client Service Associate
$50K - $65K/yr
Support the firm's initiatives, assist with any company-wide projects and activities, and attend ... Two years of relevant experience (Registered Investment Advisor or Broker/Dealer) is preferred
Client Service Associate
Indianapolis, IN · On-site
$50K - $65K/yr
Support the firm's initiatives, assist with any company-wide projects and activities, and attend ... Two years of relevant experience (Registered Investment Advisor or Broker/Dealer) is preferred
Client Service Associate
Indianapolis, IN · On-site
$50K - $65K/yr
Support the firm's initiatives, assist with any company-wide projects and activities, and attend ... Two years of relevant experience (Registered Investment Advisor or Broker/Dealer) is preferred
Investment Advisor Assistant information
See Indiana salary details
$27.1K - $32.5K
9% of jobs
$32.5K - $37.9K
14% of jobs
$39.1K is the 25th percentile. Wages below this are outliers.
$37.9K - $43.3K
13% of jobs
The median wage is $48.7K / yr.
$43.3K - $48.7K
15% of jobs
$48.7K - $54.2K
14% of jobs
$58.5K is the 75th percentile. Wages above this are outliers.
$54.2K - $59.6K
14% of jobs
$59.6K - $65K
10% of jobs
$65K - $70.4K
6% of jobs
$70.4K - $75.8K
3% of jobs
$75.8K - $81.2K
2% of jobs
$81.2K - $86.6K
1% of jobs
$27.1K
$51.6K
$86.6K
How much do investment advisor assistant jobs pay per year?
As of Aug 13, 2026, the average yearly pay for investment advisor assistant in Indiana is $51,617.00, according to ZipRecruiter salary data. Most workers in this role earn between $39,000.00 and $59,900.00 per year, depending on experience, location, and employer.
What does an investment advisor assistant do?
An Investment Advisor Assistant plays a vital role in maintaining strong advisor-client relationships by handling administrative tasks such as scheduling meetings, preparing account documentation, processing client requests, and ensuring all client communications are timely and accurate. They often serve as the first point of contact for clients, addressing routine inquiries and relaying more complex concerns to the investment advisor. This support allows advisors to focus on portfolio management and strategic planning, while ensuring that clients receive prompt and attentive service.
What are the key skills and qualifications needed to thrive as an investment advisor assistant?
To thrive as an Investment Advisor Assistant, you need a solid understanding of financial services, investment products, and administrative support, typically supported by a degree in finance or business. Familiarity with financial planning software, CRM systems, and regulatory compliance tools is commonly required. Strong organizational skills, attention to detail, and effective communication set top performers apart in this role. These skills are crucial for ensuring accurate client support, maintaining regulatory standards, and contributing to the advisor’s efficiency and client satisfaction.
What is the difference between Investment Advisor Assistant vs Financial Advisor Assistant?
| Aspect | Investment Advisor Assistant | Financial Advisor Assistant |
|---|---|---|
| Certifications | Typically requires FINRA Series 7 or 66, and possibly CFP | Similar certifications, often the same as Investment Advisor Assistant |
| Work Environment | Supports investment advisors in managing client portfolios | Supports financial advisors in client service and administrative tasks |
| Employer & Industry | Financial services firms, investment firms, wealth management | Financial planning firms, wealth management, banking |
| Search & Comparison Intent | Often compared for roles supporting investment advisory services | Similar roles in financial planning support |
The Investment Advisor Assistant and Financial Advisor Assistant roles share many similarities, including required certifications and work environments. Both support financial professionals in client management and administrative tasks within the financial services industry. The main difference lies in the focus: Investment Advisor Assistants primarily support investment advisors managing portfolios, while Financial Advisor Assistants often assist financial planners providing comprehensive financial planning services.
What is an investment advisor assistant?
Investment Advisor Assistants are professionals who support investment advisors or financial planners by performing administrative, clerical, and client service tasks. Their responsibilities often include preparing reports, scheduling client meetings, managing correspondence, updating client records, and assisting with research on investment products. They help ensure that advisors can focus on providing personalized financial advice, while maintaining smooth office operations and high levels of client satisfaction.
What are the most commonly searched types of Investment Advisor jobs in Indiana?
The most popular types of Investment Advisor jobs in Indiana are:
What are popular job titles related to Investment Advisor Assistant jobs in Indiana?
For Investment Advisor Assistant jobs in Indiana, the most frequently searched job titles are:
What job categories do people searching Investment Advisor Assistant jobs in Indiana look for?
The top searched job categories for Investment Advisor Assistant jobs in Indiana are:
What cities in Indiana are hiring for Investment Advisor Assistant jobs?
Cities in Indiana with the most Investment Advisor Assistant job openings:
Full-time
Re-posted 21 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