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Investment Compliance Associate Jobs (NOW HIRING)

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 ...

XYPN

Compliance Associate

$53K - $63K/yr

About XYPN XY Investment Solutions, LLC, DBA XYPN Sapphire, is an SEC-registered investment adviser ... About the role As a Compliance Associate, you will support the day-to-day operation of Sapphire ...

Robert Half

Compliance Associate

Elmhurst, IL · On-site

$80K - $85K/yr

... a Compliance Associate to join our team in Elmhurst, Illinois. This role is pivotal in upholding ... Provide continuous support for registered investment advisors and representatives. * Collaborate ...

Financial Integrators

Compliance Associate

Des Moines, IA · On-site

$27 - $35/hr

We are seeking a detail-oriented, collaborative Compliance Associate to join our team. In this role ... Finally, we invest in your future through a 401(k) plan and a robust Employee Assistance Program ...

Vision Financial Group

Compliance Associate

Des Moines, IA · On-site

$27 - $35/hr

We are seeking a detail-oriented, collaborative Compliance Associate to join our team. In this role ... Finally, we invest in your future through a 401(k) plan and a robust Employee Assistance Program ...

Quincy Wells Group

Be Seen First

Compliance Associate

Chicago, IL · On-site

$65K - $90K/yr

About the Role Quincy Wells Group is seeking a Compliance Associate to support our compliance function across both our Broker Dealer and Registered Investment Advisor (RIA) businesses. Reporting ...

HedgeServ

Compliance Associate

Raleigh, NC · On-site +1

Our solutions span the full investment lifecycle, including fund accounting, middle office, risk, compliance, tax, and investor services. We're a future-focused company, empowering our people through ...

HedgeServ

Compliance Associate

Dallas, TX · On-site

Our solutions span the full investment lifecycle, including fund accounting, middle office, risk, compliance, tax, and investor services. We're a future-focused company, empowering our people through ...

Addison Group

Risk & Compliance Associate

Chicago, IL · On-site

$50 - $60/hr

Job Title: Risk & Compliance Associate Location: Chicago, IL Industry: Management Consulting ... investments. * Collaborate with Learning & Development teams to support compliance training ...

HedgeServ

Compliance Associate

Dallas, TX · On-site +1

Our solutions span the full investment lifecycle, including fund accounting, middle office, risk, compliance, tax, and investor services. We're a future-focused company, empowering our people through ...

HedgeServ

Compliance Associate

Raleigh, NC · On-site +1

Our solutions span the full investment lifecycle, including fund accounting, middle office, risk, compliance, tax, and investor services. We're a future-focused company, empowering our people through ...

HedgeServ

Compliance Associate

Dallas, TX · On-site +1

Our solutions span the full investment lifecycle, including fund accounting, middle office, risk, compliance, tax, and investor services. We're a future-focused company, empowering our people through ...

RPM Living

Affordable Compliance Associate

Dallas, TX · On-site

Position Summary The Compliance Associate will oversee and ensure compliance with all aspects of ... or investors/partners * Communicate with outside auditors as needed * Monitor that Resident ...

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Investment Compliance Associate information

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How much do investment compliance associate jobs pay per hour?

As of Aug 9, 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 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
Infographic showing various Investment Compliance Associate 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 94% Physical, 2% Hybrid, and 4% Remote job distribution, with an average salary of $73,648 per year, or $35.4 per hour.

Compliance Associate

Valeo Financial Advisors

Carmel, IN • On-site

Full-time

Re-posted 18 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 firm's compliance program in accordance with the Investment Advisers Act of 1940. This position is responsible for helping maintain the firm's 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 firm's 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:
  • Bachelor's degree or higher from an accredited college or university
  • 2-5 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

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