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Investment Compliance Associate Jobs (NOW HIRING)

Third Bridge

Compliance Associate, Content

New York, NY · On-site

$60K - $65K/yr

We accelerate and enhance decision-making for investors and business leaders by unearthing unique ... to hire a Compliance Associate dedicated to Third Bridge's Content department to join our ...

Third Bridge

Compliance Associate, Content

New York, NY · On-site

$60K - $65K/yr

We accelerate and enhance decision-making for investors and business leaders by unearthing unique ... to hire a Compliance Associate dedicated to Third Bridge's Content department to join our ...

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 26, 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 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.

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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 92% Physical, 3% Hybrid, and 5% Remote job distribution, with an average salary of $73,648 per year, or $35.4 per hour.

Portfolio Oversight Analyst - Investment Compliance

San Francisco, CA • On-site

Artisan Partners
Finance and Insurance • 201 - 500 employees
Learn more about Artisan Partnersexternal

$100K - $150K/yr

Full-time

Re-posted 22 days ago

Job description

Artisan Partners Limited Partnership is seeking a Portfolio Oversight Analyst within Trade Operations. The Analyst will join a team responsible for administering and enhancing the firm's trading controls and ensuring compliance with investment management agreements, investment guidelines, and global regulatory limits, which is central to the firm's operational risk framework. Day-to-day, the Analyst will help code client investment guidelines into the firm's order management systems, partner with the trading desks on investment compliance and portfolio administration matters, and apply judgment and business expertise to recommend and implement solutions. The Analyst will also support the firm's global regulatory reporting obligations - sourcing and maintaining data from vendors such as Bloomberg, FactSet, and MSCI, and preparing and submitting required filings - along with proxy voting administration, client due diligence and RFP responses, and maintenance of the firm's library of standard responses on investment guidelines and trading controls. The role includes participation in the team's overnight on-call rotation to support Artisan's global trading desks. The Analyst will also contribute to the firm's growth initiatives, including onboarding new model delivery platforms that expand how Artisan distributes its investment strategies.
Responsibilities
The candidate can expect to:
  • Assist with the setup, preparation, and coding of client investment guidelines into the order management systems including recurring account setup reviews
  • Provide analysis and interpretation of potential and current investment policies and account guidelines in investment management agreements
  • Serve as a primary point of contact for trading desk inquiries on portfolio constraints, regulatory limits, and operational controls, exercising judgment to recommend timely resolutions
  • Support proxy voting administration and reporting initiatives
  • Assist with the preparation and review of various regulatory reporting obligations including substantial shareholder disclosures and EMIR trade reporting obligations
  • Support various internal and client reporting obligations including client due diligence questionnaires and RFP submissions on behalf of the team
  • Coordinate responses to recurring and ad hoc portfolio compliance inquiries
  • Monitor the Firm's nightly position refresh process that sends portfolio records to downstream systems
  • Participate in the team's overnight on-call rotation, independently reviewing new underwritten deals and resolving alerts as they arise
  • Assist with other projects and initiatives as needed
Qualifications
The successful candidate will possess:
  • Undergraduate degree in Finance, Accounting, Economics, or Business Administration
  • 5+ years relevant experience preferred
  • Self-starter with ability to multi-task in a fast-paced environment and demonstrated ability to prioritize daily work
  • Willingness to perform structured and unstructured tasks with a high sense of urgency and excellent attention to detail
  • Strong analytical and critical thinking skills
  • Vigilance and sound judgment in identifying and escalating issues promptly
  • Demonstrated experience in financial services, investment, securities, and global securities trading industry
  • Builds strong relationships across levels and functions including peers, senior management, traders, investment teams, and distribution partners to share information and resolve issues efficiently
  • Adaptable in the face of change and ambiguity, with a strong client service orientation
  • Intellectual curiosity and a desire to deepen expertise across asset classes and regulatory regimes
  • Prior experience supporting client due diligence questionnaires, RFPs, and reporting requests preferred
  • Experience with fixed income securities, derivatives on equities or fixed income, listed and unlisted equities preferred
  • Regulatory reporting experience preferred, particularly with global substantial shareholder ownership limits
  • Experience with the Aladdin by BlackRock order management system preferred
  • Previous financial services experience preferred
  • Proficiency with Microsoft Office Suite
  • Experience writing SQL queries (Snowflake or similar data warehouse) and familiarity with Python for data analysis preferred
  • Available to work through evening critical processing times (generally through 5:30PM CST weekdays and occasional late evenings when on call)

Base Salary Range: $100,000 - $150,000
Specific placement within the provided range will be determined by an individual's geographic location as well as relevant experience and skills for the role. Base salary is only one component of our total compensation package. Associates may be eligible for a discretionary bonus, which is determined upon Firm and individual performance.
Privacy Notice for California Applicants
Artisan Partners Limited Partnership is an equal opportunity employer. Artisan Partners does not discriminate on the basis of race, religion, color, national origin, gender, age, disability, marital status, sexual orientation or any other characteristic protected under applicable law. All employment decisions are made on the basis of qualifications, merit and business need.
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