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Investment Compliance Associate Jobs in Indiana (NOW HIRING)

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Associate Advisor

Fort Wayne, IN · On-site

$75K - $100K/yr

The Associate Advisor will work closely with senior advisors to prepare investment plans, support ... Coordinate with operations and compliance teams to ensure accurate and timely execution of client ...

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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:

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.

HR Compliance Senior Associate

Crowe LLP

Indianapolis, IN • Remote

Full-time

Posted 5 days ago


Job description

Your Journey at Crowe Starts Here:

At Crowe, you can build a meaningful and rewarding career. With real flexibility to balance work with life moments, you're trusted to deliver results and make an impact. We embrace you for who you are, care for your well-being, and nurture your career. Everyone has equitable access to opportunities for career growth and leadership. Over our 80-year history, delivering excellent service through innovation has been a core part of our DNA across our audit, tax, and consulting groups. That's why we continuously invest in innovative ideas, such as AI-enabled insights and technology-powered solutions, to enhance our services. Join us at Crowe and embark on a career where you can help shape the future of our industry.

Job Description:

The HR Compliance Senior Associate supports labor and employment law compliance, regulatory activity, and has a dedicated focus on contractor compliance and lifecycle management. While employment law and regulatory responsibilities comprise the majority of the role, this position will also be directly responsible for the oversight of contractor management including worker classification reviews, onboarding, offboarding, and extensions, as well as partnership with business leaders to ensure compliance.

As part of the broader HR Compliance team, this position supports the HR Compliance leader in partnership with Talent, Legal, Finance, and other business stakeholders to interpret multi-jurisdictional requirements, assess risks, maintain policies and controls, and support reporting, audits, and remediation. The role also supports ADA accommodation follow-up, HR Compliance mailbox oversight, client RFP and due diligence responses, and occasional global background investigations.

Key Responsibilities:

  • Provide day-to-day employment law compliance support across jurisdictions by proactively researching and interpreting requirements, assessing risk and operational impact, resolving questions with Legal, HR, and business stakeholders, and escalating complex matters.

  • Monitor employment law and regulatory developments and coordinate timely updates to policies, procedures, communications, training, guidance, and internal controls.

  • Support compliance reviews, risk assessments, audits, and remediation; prepare and maintain EEO, affirmative action, and other required HR reports, filings, records, and supporting documentation.

  • Oversee the HR Compliance mailbox and coordinate accurate, timely responses to HR compliance inquiries, client RFPs, questionnaires, audits, and due diligence requests.

  • Lead contractor compliance and lifecycle oversight with business units and cross-functional partners. Independently conduct and document worker classification reviews, evaluate complex arrangements, ensure agreements and SOWs align with approved engagements, monitor end dates, coordinate extensions and offboarding, maintain audit-ready records, and advise on or escalate classification and compliance risks.

  • Support the HR Compliance leader in providing confidential ADA accommodation follow-up and coordinate documentation, communications, next steps, and appropriate escalation.

  • As needed, support background investigations globally in accordance with applicable law, privacy requirements, firm policy, and screening standards; handle findings confidentially and escalate complex matters.

#LI-SAW #LI-Remote

Qualifications & Requirements:

Education & Experience

  • Required: Bachelor's degree in Human Resources, Business Administration, Legal Studies, or a related field, or equivalent experience.

  • Required: 3-5+ years of hands-on HR compliance experience, including broad employment law compliance and regulatory responsibilities.

  • Preferred: Professional certification in HR compliance, employment law, or related field (e.g., SHRM-CP, PHR, Certified Compliance & Ethics Professional (CCEP)).

  • Preferred: Prior experience in professional services, consulting, or multinational organization.

Specialized Knowledge

  • Required: Substantial multi-jurisdictional employment law compliance experience, including legal research, policy and process updates, reviews or audits, remediation, and regulatory reporting.

  • Required: Extensive hands-on worker classification and contractor management experience, including independently leading classification reviews, evaluating complex arrangements, and overseeing agreements and SOWs, extensions, and offboarding.

  • Required: Demonstrated ability to manage sensitive investigations or escalations with discretion.

  • Required: Strong data analysis and reporting skills.

  • Preferred: Global employment law compliance experience is a plus.

Core Competencies (Required)

  • Integrity & Judgment: Strong ethics, sound decision-making, and ability to handle sensitive matters confidentially.

  • Analytical & Problem-Solving: Ability to interpret complex data and resolve issues with minimal supervision.

  • Collaboration & Communication: Strong interpersonal skills, ability to build cross-functional relationships, and excellent written and verbal communication.

  • Adaptability: Ability to thrive in a fast-paced, evolving environment. Comfortable with managing ambiguity and complexity while supporting change initiatives.

  • Organization: Exceptional organizational, time management, and project management with strong attention to detail and a focus on accuracy and compliance.

  • Technical Skills: Proficiency in HRIS systems (Workday preferable), AI, and Microsoft Office tools.

We expect the candidate to uphold Crowe's values of Care, Trust, Courage, and Stewardship. These values define who we are. We expect all of our people to act ethically and with integrity at all times.

In compliance with federal law, all persons hired will be required to verify identity and eligibility to work in the United States and to complete the required employment eligibility verification form upon hire. Crowe is not sponsoring for work authorization at this time.

The wage range for this role takes into account the wide range of factors that are considered in making compensation decisions including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs. The disclosed range estimate has not been adjusted for the applicable geographic differential associated with the location at which the position may be filled. At Crowe, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. A reasonable estimate of the current range is $69,000.00 - $136,500.00 per year.

Our Benefits:
Your exceptional people experience starts here. At Crowe, we know that great peopleare what makes a great firm. We care about our people and offer employees a comprehensive total rewards package. Learn more about what working at Crowe can mean for you!
How You Can Grow:
We will nurture your talent in an inclusive culture that values diversity. You will have the chance to meet on a consistent basis with your Career Coach that will guide you in your career goals and aspirations. Learn more about where talent can prosper!
More about Crowe:
Crowe provides professional services through two separate entities: Crowe LLP delivers audit and attest services, and Crowe Advisory LLC provides tax, advisory, consulting, and other nonattest services.


The Crowe Global network consists of more than 300 independent accounting and advisory services firms in more than 150 countries around the globe, making it one of the largest accounting networks in the world.* As independent members of Crowe Global, Crowe LLP and Crowe Advisory LLC serve clients worldwide.


*As of July 2026.
Crowe LLP and Crowe Advisory LLC (and their respective subsidiary entities) provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, sexual orientation, gender identity or expression, genetics, national origin, disability or protected veteran status, or any other characteristic protected by federal, state or local laws.


Crowe LLP and Crowe Advisory LLC (and their respective subsidiary entities) does not accept unsolicited candidates, referrals or resumes from any staffing agency, recruiting service, sourcing entity or any other third-party paid service at any time. Any referrals, resumes or candidates submitted to Crowe, or any employee or owner of Crowe without a pre-existing agreement signed by both parties covering the submission will be considered the property of Crowe, and free of charge.


Crowe will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws.

Please visit our webpage to see notices of the various state and local Ban-the-Box laws and Fair Chance Ordinances, where applicable.

We are committed to a merit-based hiring process, evaluating all candidates consistently using objective, job-related criteria such as relevant experience, demonstrated skills, measurable impact, and alignment with the role's responsibilities, and making employment decisions in a fair and inclusive manner free from discrimination.

If you are interested in applying for employment with Crowe and are in need of an accommodation or require special assistance to navigate our website or to complete your application, please visit our Applicant Assistance and Accommodations page for more information: https://careers.crowe.com/crowe-applicant-assistance-and-accommodation


Crowe logo

About Crowe

Sourced by ZipRecruiter

Crowe (www.crowe.com) is one of the largest public accounting, consulting and technology firms in the United States. Crowe uses its deep industry expertise to provide audit services to public and private entities while also helping clients reach their goals with tax, advisory, risk and performance services. Crowe is recognized by many organizations as one of the country's best places to work. Crowe serves clients worldwide as an independent member of Crowe Global, one of the largest global accounting networks in the world. The network consists of more than 200 independent accounting and advisory services firms in more than 130 countries around the world.

Industry

Accounting services

Company size

1,001 - 5,000 Employees

Headquarters location

Chicago, IL, US

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