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Investment Compliance Associate Jobs (NOW HIRING)

Rain

Compliance Associate

New York, NY · On-site

$50K/yr

... investors in fintech, crypto, and SaaS, including ICONIQ, Sapphire Ventures, Norwest, Galaxy ... About the Role We are looking for a sharp, motivated Compliance Analyst to join our Compliance team ...

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 ...

D.A. Davidson

Compliance Associate (Junior)

Minneapolis, MN · On-site

$20.95 - $31.43/hr

The Compliance Associate role is ideal for candidates who are new to the financial services ... Basic knowledge of financial markets and investment products, and ability and willingness to expand ...

D.A. Davidson

Compliance Associate (Junior)

Minneapolis, MN · Remote

$20.95 - $31.43/hr

The Compliance Associate role is ideal for candidates who are new to the financial services ... Basic knowledge of financial markets and investment products, and ability and willingness to expand ...

New

D.A. Davidson

Compliance Associate (Junior)

Great Falls, MT · Remote

$20.95 - $31.43/hr

The Compliance Associate role is ideal for candidates who are new to the financial services ... Basic knowledge of financial markets and investment products, and ability and willingness to expand ...

New

D.A. Davidson

Compliance Associate (Junior)

Great Falls, MT · On-site

$20.95 - $31.43/hr

The Compliance Associate role is ideal for candidates who are new to the financial services ... Basic knowledge of financial markets and investment products, and ability and willingness to expand ...

Point72

Macro Compliance Associate

Stamford, NY · On-site

$125K - $175K/yr

A Career with Point72's Compliance Team The Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing ...

Point72

Macro Compliance Associate

Stamford, NY

$125K - $175K/yr

A Career with Point72's Compliance Team The Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing ...

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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 10, 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.

Distribution Compliance Associate

Nomura International

Manhattan, NY • On-site

$100K - $125K/yr

Full-time

Medical, Retirement, PTO

Re-posted 3 days ago

Job description

Job Title: Distribution Compliance Associate
Corporate Title: Associate
Department:Compliance
Location: New York
The pay range for this position at commencement of employment is expected to be between $100,000 and $125,000 per year* (see below footnote for additional compensation and benefits information).
Company Overview
Nomura is a financial services group with an integrated global network. By connecting markets East & West, we service the needs of individuals, institutions, corporates and governments through our four business divisions: Wealth Management, Investment Management, Wholesale (Global Markets and Investment Banking) and Banking.
Driven by the insights of some 28,000 people worldwide, we put our clients at the center of everything we do, delivering unparalleled access to, from, and within Asia. For further information about Nomura, visit www.nomura.com
Aon's Benefit Index®, Nomura's benefits rank #1 amongst our competitors
Division Overview: NAM International
The international business brings together a legacy of investing in public and private markets on a global scale. Through active management, we deliver differentiated and innovative solutions across equities, fixed income, multi-asset, and private credit supported by a team of disciplined and tenured investment professionals. Building upon Nomura's century long heritage, our teams are responsible stewards of clients' capital. We approach everything we do with accountability, curiosity, and integrity to help clients across wealth and institutional channels navigate an ever-changing market, capture opportunities around the world, and reach long-term investment goals.
Role Description:
As an Associate, Compliance, you will:
  • Administer framework for various aspects of the firm's limited purpose broker Delaware Distributors, L.P. ("DDLP") compliance program. Specifically, efforts relating to sales practices, licensing/registration, testing/certification, and continuing education.
  • Support the maintenance and implementation of broker dealer compliance manuals, policies and procedures.
  • Work closely with internal business partners to ensure that all broker dealer activities are compliant.
  • Serve as a trusted advisor for broker dealer matters, fostering open communication and encouraging proactive escalation of concerns.
  • Perform periodic reviews and compliance testing relating to various broker dealer requirements.
  • Assist in the creation and delivery of quarterly and annual compliance reports and management reporting.
  • Analyse compliance trends and regulatory changes to identify potential risks and opportunities then implement necessary updates.
  • Cross train and assist in other areas of the broker dealer compliance program and coordinate with operations, legal, and business development teams on compliance matters.
  • Lead and contribute to strategic compliance initiatives, demonstrating ownership and driving organizational capability enhancement.

Skills, experience, qualifications and knowledge required:
  • Bachelor's degree in business, finance, or a related field
  • Minimum of 2-4 years' relevant experience
  • Knowledge of securities regulations specifically broker dealer and investment adviser rules.
  • Knowledge of ETF and private fund structures and regulations a plus.
  • Demonstrates ability to influence and inspire others toward compliance excellence.
  • Strong analytical skills and problem-solving abilities with ability to identify trends and strategic opportunities.
  • Detail-oriented with ability to work in unstructured situations and shift quickly to new tasks when priorities change.
  • Ability to work effectively across different levels of the organization.
  • Excellent written and verbal communication skills.
  • Self-starter; proactive approach to work assignments; willingness to learn and work in a team environment.
  • Experience with automated compliance solutions for monitoring, regulatory reporting, digital recordkeeping, and real-time surveillance of sales activities.
  • Ability to work with modern distribution channels, integrate compliance systems with fintech platforms, and leverage data analytics for risk assessment and regulatory reporting.

Nomura Leadership Behaviours
  • Explore Insights & Vision: Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.
  • Making Strategic Decisions: Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.
  • Inspire Entrepreneurship in People: Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.
  • Elevate Organizational Capability: Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.
  • Inclusion: Foster a culture of inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).

*base pay offered may vary depending on multiple individualized factors, including market location, corporate and functional title and duties, job-related knowledge and advanced degrees, skills, and experience. The total compensation package for this position may also include other elements, including a sign-on bonus, restricted stock units, and discretionary awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.
If hired in the U.S., employee will be in an "at-will position" and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors.
Nomura is an Equal Opportunity Employer

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