ZipRecruiter

Log In

1

Investment Compliance Associate Jobs in Indiana (NOW HIRING)

Old National Bank

Investment Associate

Evansville, IN · On-site

$44K - $84K/yr

Investment Associate Job Locations US-IN-Evansville Category/Function Trust/Wealth Management ... Recommend and implement changes to the holdings and asset allocation to maintain compliance with ...

Old National Bank

Investment Associate

Evansville, IN · On-site

$44K - $84K/yr

The Investment Associate partners with other Wealth Management employees to develop and retain high ... Recommend and implement changes to the holdings and asset allocation to maintain compliance with ...

Old National Bank

Investment Associate

Evansville, IN · On-site

$44K - $84K/yr

Responsibilities The Investment Associate partners with other Wealth Management employees to ... Recommend and implement changes to the holdings and asset allocation to maintain compliance with ...

CX Institutional LLC

Client Service Associate

Auburn, IN · On-site

$13.50 - $18.75/hr

... Investment Advisor (RIA) headquartered in Indiana. They offer a uniquely client-centric approach to ... Remain knowledgeable in the policies and regulations of the regulatory bodies to ensure compliance ...

New

next page

Showing results 1-20

All JobsInvestment Compliance Associate JobsInvestment Compliance Associate Jobs in Indiana

Investment Compliance Associate information

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.

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 are popular job titles related to Investment Compliance Associate jobs in Indiana?

For Investment Compliance Associate jobs in Indiana, the most frequently searched job titles are:

What job categories do people searching Investment Compliance Associate jobs in Indiana look for?

The top searched job categories for Investment Compliance Associate jobs in Indiana are:

What cities in Indiana are hiring for Investment Compliance Associate jobs?

Cities in Indiana with the most Investment Compliance Associate job openings:

Investment Compliance Associate jobs near you
Infographic showing various Investment Compliance Associate job openings in Indiana as of August 2026, with employment types broken down into 1% As Needed, 84% Full Time, 11% Part Time, and 4% Contract. Highlights an 93% Physical, 3% Hybrid, and 4% Remote job distribution.

Compliance Associate

Valeo Financial Advisors

Carmel, IN • On-site

Full-time

Re-posted 25 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

Apply