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Investment Management Compliance Jobs (NOW HIRING)

Thrivent

Asset Management Compliance Manager

Minneapolis, MN · On-site

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

Driven by a higher purpose at our core, we are committed to providing financial advice, investments ... Job Summary This position reports to the Director, Asset Management Compliance and has ...

Solvay Bank

AVP, Trust & Investment Management

Syracuse, NY · On-site

$65K - $98K/yr

  • Medical

  • Dental

  • Retirement

Comply with Compliance requires regarding annual account reviews. * Meet with clients on a regular ... Trust & Investment Manager. * Executes trades at the request of clients and as needed for asset ...

PanAgora

Sr Analyst, Investment Compliance

Boston, MA

$90K - $150K/yr

Company Overview Founded in 1989, PanAgora (Greek for across marketplace) Asset Management is a ... SUMMARY The Senior Analyst, Investment Compliance, is responsible for supporting the firm ...

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Investment Management Compliance information

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$38.5K

$95.1K

$157K

How much do investment management compliance jobs pay per year?

As of Aug 16, 2026, the average yearly pay for investment management compliance in the United States is $95,103.00, according to ZipRecruiter salary data. Most workers in this role earn between $70,000.00 and $116,500.00 per year, depending on experience, location, and employer.

What is the difference between Investment Management Compliance vs Investment Analyst?

AspectInvestment Management ComplianceInvestment Analyst
Primary FocusEnsuring adherence to regulations and internal policies within investment firmsAnalyzing financial data and market trends to make investment recommendations
Required CredentialsCertifications like CFA, compliance certifications often preferredCFA, finance degrees, analytical skills
Work EnvironmentRegulatory departments, compliance teams within investment firmsResearch departments, investment teams, financial firms
Industry UsageCommon in asset management, hedge funds, private equityCommon across asset management, mutual funds, investment banks

Investment Management Compliance focuses on regulatory adherence and internal policies, ensuring firms operate within legal boundaries. Investment Analysts analyze market data to guide investment decisions. While both roles are vital in the investment industry, they serve distinct functions with different skill sets and responsibilities.

What are the key skills and qualifications needed to thrive as an investment management compliance professional, and why are they important?

To thrive in Investment Management Compliance, you need a deep understanding of financial regulations, investment products, and risk management, often supported by a degree in finance, law, or related fields. Familiarity with compliance monitoring tools, regulatory reporting systems, and certifications such as the Certified Compliance & Ethics Professional (CCEP) are highly valuable. Strong analytical thinking, attention to detail, and effective communication distinguish top performers in this role. These skills ensure that investment firms operate within legal boundaries, mitigate risks, and maintain client trust in a highly regulated industry.

How does an investment management compliance professional typically interact with portfolio managers and other investment teams?

Investment Management Compliance professionals work closely with portfolio managers, analysts, and trading teams to ensure all investment activities adhere to regulatory requirements and internal policies. This collaboration often involves reviewing proposed trades, providing guidance on regulatory issues, and conducting training on compliance topics. Regular communication helps identify potential compliance risks early and fosters a culture of transparency and integrity within the organization. By partnering with investment teams, compliance professionals help maintain the firm's reputation and avoid regulatory penalties.

What is investment management compliance?

Investment management compliance refers to the processes and systems put in place to ensure that investment firms and professionals adhere to all relevant laws, regulations, and internal policies. This includes monitoring trading activities, ensuring accurate disclosures, and preventing conflicts of interest or unethical behavior. Compliance professionals help protect clients and firms from legal or reputational risks and are essential in maintaining market integrity.
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What states have the most Investment Management Compliance jobs?

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What job categories do people searching Investment Management Compliance jobs look for?

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Investment Management Compliance jobs near you
Infographic showing various Investment Management Compliance job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 82% Full Time, 14% Part Time, and 3% Contract. Highlights an 92% Physical, 3% Hybrid, and 5% Remote job distribution, with an average salary of $95,103 per year, or $45.7 per hour.

Analyst, Investment Compliance (CLO) | Global Investment Management

Recruiting Resources, Inc.

Los Angeles, CA • On-site

Full-time

Re-posted 3 days ago

Job description

We are partnering with a well-established global investment management firm, is looking for an Investment Compliance Analyst to join its growing team. This is an excellent opportunity for someone with investment compliance experience who enjoys working in a collaborative environment and wants to build their career within the credit and alternative investment space.

In this role, you'll work closely with investment professionals and compliance team members to help monitor investment guidelines across a variety of portfolios, including CLOs and other institutional investment vehicles. You'll be involved in reviewing compliance results, researching exceptions, supporting reporting, and helping ensure investment portfolios remain aligned with internal and regulatory requirements.

What You'll Do

  • Review investment guidelines and interpret key compliance requirements.

  • Monitor portfolio compliance using investment and order management systems.

  • Investigate and resolve compliance exceptions by partnering with portfolio managers, traders, and operations teams.

  • Assist with ongoing testing, reporting, and reconciliation of compliance results.

  • Support the maintenance and enhancement of compliance processes and procedures.

  • Prepare ad hoc reports and analyses for internal stakeholders.

What We're Looking For

  • Bachelor's degree in Finance, Accounting, Economics, or a related field.

  • Approximately 2–4+ years of investment compliance or investment operations experience within financial services.

  • Experience working with CLO investment guideline compliance is strongly preferred.

  • Familiarity with investment management or order management platforms such as Aladdin, Charles River, Everest, thinkFolio, or similar systems.

  • Understanding of fixed income products, loans, bonds, or structured credit is a plus.

  • Strong Excel skills and solid analytical abilities.

  • Excellent attention to detail, organizational skills, and communication.

  • Someone who enjoys solving problems, works well with others, and can manage multiple priorities in a fast-paced environment.

This position offers the chance to join a respected investment organization where you'll gain exposure to complex investment strategies, collaborate with experienced professionals, and continue developing your expertise in investment compliance.

If you're looking for your next opportunity in investment compliance and would like to learn more, we'd be happy to have a confidential conversation.