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Investment Compliance Associate Jobs (NOW HIRING)

Geode Capital Management

Compliance Associate

Boston, MA · Hybrid

$70K - $85K/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 ...

Man Group

Investment Compliance

Boston, MA

Specific responsibilities Analyze real time risk/compliance alerts to ensure consistency with investment mandates, and work with traders and portfolio managers to resolve exceptions Manage pre-trade ...

Lord Abbett.com

Compliance Associate

Jersey City, NJ · On-site

As an investment-led, investor-focused firm, we value intellectual curiosity, teamwork, and ... The Compliance Associate will support Lord Abbett's Control Room covering core investment and ...

Fernridge Group

Compliance Associate

Los Angeles, CA

A leading investment management firm with over $20B in AUM is seeking a Compliance Associate to support the administration and enhancement of its regulatory compliance program. This role will work ...

KSL Capital Partners

Compliance Associate

Denver, CO · On-site

KSL specializes in investments across five primary sectors: hospitality, recreation, clubs, real ... This Associate will work in the Legal & Compliance Department, under the direction of the Chief ...

KSL Capital Partners

Compliance Associate

Denver, CO · On-site

KSL specializes in investments across five primary sectors: hospitality, recreation, clubs, real ... This Associate will work in the Legal & Compliance Department, under the direction of the Chief ...

Fernridge Group

Compliance Associate

Manhattan, NY

$75/hr

Compliance Analyst / Compliance Associate Firm: Global Private Equity Firm ($75B+) Location: New ... Opportunity to work closely with investor relations and marketing teams * Competitive compensation ...

The Rockridge Group

Compliance Associate

Dallas, TX

Compliance Associate Location: Dallas, TX Company Description : Client X is a top-ranked global ... Client X supports all investment strategies within hedge funds, funds of hedge funds, private ...

Atlantic Group

Compliance Associate

Manhattan, NY · Hybrid

Evaluate marketing and investor communications to ensure adherence to SEC regulations and internal compliance standards * Support compliance testing initiatives, internal assessments, and mock ...

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Investment Compliance Associate information

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How much do investment compliance associate jobs pay per hour?

As of Jun 13, 2026, the average hourly pay for investment 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 are the typical daily responsibilities of an Investment Compliance Associate?

As an Investment Compliance Associate, your daily tasks often include monitoring investment portfolios to ensure adherence to regulatory guidelines and internal policies, reviewing trade activity for compliance breaches, and preparing regular reports for senior management. You will frequently collaborate with portfolio managers, legal teams, and risk management to resolve compliance issues and implement policy updates. Staying current with regulatory changes and participating in compliance training sessions is also part of the role, helping you contribute to a culture of compliance within the organization.

What is the difference between Investment Compliance Associate vs Investment Analyst?

AspectInvestment Compliance AssociateInvestment Analyst
Required CredentialsTypically a bachelor's degree in finance, economics, or related field; certifications like CFA or CAMS are a plusUsually a bachelor's degree in finance, economics, or related; CFA is common but not mandatory
Work EnvironmentRegulatory compliance teams within asset management firms, hedge funds, or banksResearch and analysis teams in asset management, investment firms, or banks
Employer & Industry UsageUsed in firms with a focus on regulatory adherence and risk managementUsed in investment decision-making, portfolio management, and market analysis

The Investment Compliance Associate primarily focuses on ensuring adherence to regulatory and internal policies, while the Investment Analyst concentrates on analyzing investment opportunities and market data. Both roles require strong financial knowledge and often overlap in skills, but their core responsibilities differ significantly.

What does an Investment Compliance Associate do?

An Investment Compliance Associate is responsible for ensuring that investment activities and processes within a firm adhere to legal, regulatory, and internal policy requirements. They review transactions, monitor portfolios for compliance with investment guidelines, and help implement controls to prevent violations. The role often involves working closely with portfolio managers, legal teams, and regulators to address compliance issues and support audits. Their work helps protect the firm from regulatory risks and reinforces investor confidence.

What are the key skills and qualifications needed to thrive as an Investment Compliance Associate, and why are they important?

To thrive as an Investment Compliance Associate, you need a solid understanding of financial regulations, investment products, and compliance procedures, often supported by a degree in finance, business, or a related field. Familiarity with compliance monitoring systems, Bloomberg, and knowledge of regulatory frameworks like SEC or FINRA rules are typically required. Strong attention to detail, analytical thinking, and effective communication skills help set top performers apart. These skills ensure that investment firms operate within legal boundaries, mitigate risk, and maintain the trust of clients and regulators.
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Investment Compliance Associate jobs near you
Compliance Associate

Compliance Associate

Geode Capital Management

Boston, MA • Hybrid

$70K - $85K/yr

Full-time

Medical, Retirement

Posted 2 days ago

Job description

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 oversight and maintenance of the compliance system for monitoring client investment guidelines and restrictions. The successful candidate will coordinate with Investment Teams, Legal and Technology personnel to communicate and resolve investment compliance issues.
The individual will have a strong work ethic and high ethical standards. The ideal candidate should be able to work both independently and be engaged and supportive in a team environment.
This is a hybrid work environment opportunity located in Boston, MA with a weekly in office schedule of Tuesdays, Wednesdays and Thursdays and remote work availability on Mondays and Fridays.
Key Responsibilities:
  • Perform daily investment compliance monitoring on a pre trade and post trade basis for registered funds, pooled investment vehicles and separately managed accounts. Identify exceptions and escalate any potential issues.
  • Research pre trade or post trade investment compliance matters and collaborate with appropriate stakeholders (e.g., Portfolio Management, Trade Operations, or Data Operations) to resolve as needed.
  • Perform daily review of global shareholder thresholds, including validating results and researching reporting requirements. Escalate any potential reporting requirements.
  • Assist with preparing global shareholder ownership filings for submission to applicable regulatory authorities as needed.
  • Assist in the implementation and maintenance of the compliance system to monitor client investment guidelines and restrictions. Ensure proper restriction coding in the order management system and conduct testing on new and existing investment restrictions.
  • Identify compliance restrictions from governing documents for new accounts and amendments to existing accounts. Code restrictions into the compliance system, as needed.
  • Identify opportunities to improve compliance workflows through technology-driven solutions. When needed, collaborate with Technology to effectively communicate requirements from business perspective.
Skills You Bring:
  • Bachelor’s Degree and a minimum of three (3) years of related experience in investment compliance monitoring.
  • Strong knowledge of trade order management and compliance systems (CRD preferred).
  • Experience coding investment guidelines and restrictions in compliance systems (CRD preferred).
  • Understanding of global shareholder disclosure (GSD) regulations across multiple jurisdictions, with experience in compliance processes. Familiarity with global share disclosure platforms such as CRD’s GSD portal or FundApps is highly desirable.
  • Familiarity with using financial software. to retrieve and analyze data (e.g., Bloomberg).
  • Ability to understand complex issues and regulatory requirements and provide clear and concise explanations in written and verbal communications, for senior members of the firm and external clients.
  • Ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing risk, including ability to effectively prioritize tasks.
  • Strong organizational, analytical and project management skills.
  • Effective verbal, written and personal communication skills.
  • Collaborates in a fully inclusive manner.
Company Overview:
Founded in 2001, Geode is headquartered in Boston’s financial district, the center of one of the world’s most vibrant finance and technology hubs and employs approximately 200 employees.
Geode is an institutional asset manager providing core beta exposures across a range of equity and niche asset classes, with over $1.5 trillion. With a robust infrastructure and experienced investment professionals, Geode offers the scale of a large asset management firm with the benefits of a smaller organization.
Our compensation philosophy is designed to attract, motivate, and retain top talent. We are committed to ensuring that compensation reflects the value our employees bring to Geode. Employees at all levels are eligible to receive a combination of base salary, variable compensation, and a comprehensive benefits package. Compensation decisions are informed by a range of factors including role, experience, education, and skillset.
Our benefits program is designed to support employees both professionally and personally, offering comprehensive health coverage, 401(k) matching, annual profit sharing, paid parental leave, and generous time off. We also provide tuition and certification reimbursement, student loan support, fitness and commuter reimbursements, charitable donation matching, family care assistance, and adoption and surrogacy support. Hybrid work arrangements and a culture that encourages community engagement through volunteer opportunities and employee events further enhance the employee experience at Geode.
Geode is proud to be an equal opportunity employer and support a diversified work environment. Learn more about Geode at www.geodecapital.com/careers.

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