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Manager Investment Compliance Jobs (NOW HIRING)

Imea

Manager-Investment Compliance

Boston, MA · On-site

$134.50 - $166/hr

The Manager - Investment Compliance is responsible for leading and developing a team of investment compliance professionals. You will foster a collaborative, high-performing environment, provide ...

New

Imea

Manager-Investment Compliance

Manhattan, NY · On-site

$134.50 - $166/hr

The Manager - Investment Compliance is responsible for leading and developing a team of investment compliance professionals. You will foster a collaborative, high-performing environment, provide ...

New

PanAgora

Sr Analyst, Investment Compliance

Boston, MA · On-site

$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 ...

PanAgora

Sr Analyst, Investment Compliance

Boston, MA · On-site

$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 ...

Stratos

Investment Compliance Analyst

Beachwood, OH · On-site

$70 - $100/hr

Utilize Compliance Software to manage components of the Compliance Program. * Work with the ... Respond to incoming Compliance inquiries from investment advisory representatives and other Stratos ...

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Manager Investment Compliance information

See salary details

$38.5K

$95.1K

$157K

How much do manager investment compliance jobs pay per year?

As of Sep 3, 2026, the average yearly pay for manager investment 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 does a manager investment compliance do?

A Manager Investment Compliance oversees the development and implementation of policies and procedures to ensure that investment activities comply with regulatory requirements and internal standards. They monitor trading activities, review investment portfolios, and provide guidance to ensure adherence to legal and ethical guidelines. This role often involves collaborating with regulatory bodies, conducting compliance training, and staying updated on changes in financial regulations. The manager also investigates and resolves potential compliance issues, working to minimize organizational risk.

What are the key skills and qualifications needed to thrive as a manager investment compliance, and why are they important?

To thrive as a Manager Investment Compliance, you need a deep understanding of investment regulations, risk management, and compliance frameworks, typically supported by a degree in finance, law, or a related field and relevant professional certifications (such as CFA or CAMS). Familiarity with compliance monitoring systems, investment management software, and regulatory reporting tools is essential. Strong analytical thinking, attention to detail, and excellent communication skills enable effective oversight and collaboration with internal and external stakeholders. These skills ensure the organization adheres to regulatory requirements, mitigates risk, and maintains investor trust.

What are some common challenges faced by a manager investment compliance, and how can they be addressed?

A Manager Investment Compliance often faces challenges such as keeping up with evolving regulations, ensuring timely reporting, and maintaining effective communication with portfolio managers and legal teams. Addressing these challenges requires staying current with regulatory updates, implementing robust compliance monitoring systems, and fostering a culture of open communication and collaboration within the organization. Regular training and clear documentation also help mitigate compliance risks and support consistent adherence to internal and external guidelines.

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

AspectManager Investment ComplianceInvestment Analyst
CertificationsSeries 7, 63, 65/66, CFA (preferred)Series 7, 63, CFA (preferred)
Work EnvironmentCompliance departments, financial firmsResearch, financial analysis teams
Primary FocusEnsuring adherence to regulations, policiesAnalyzing investments, market research
Employer & Industry UsageAsset management firms, broker-dealersInvestment banks, asset managers

While both roles operate within the financial industry, the Manager Investment Compliance primarily focuses on regulatory adherence and compliance oversight, whereas the Investment Analyst concentrates on analyzing investment opportunities and market data. The certifications and work environments often overlap, but their core responsibilities differ significantly.

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Cities with the most Manager Investment Compliance job openings:

What are the most commonly searched types of Investment Compliance jobs?

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Manager Investment Compliance jobs near you
Infographic showing various Manager Investment Compliance job openings in the United States as of August 2026, with employment types broken down into 87% Full Time, 12% Part Time, and 1% Contract. Highlights an 87% Physical, 2% Hybrid, and 11% Remote job distribution, with an average salary of $95,103 per year, or $45.7 per hour.

Manager-Investment Compliance

Imea

Boston, MA • On-site

$134.50 - $166/hr

Other

Medical, Retirement, PTO

Posted 2 days ago

New

Job description

About the Department

The U.S. Investment Compliance team ensures portfolios meet investment guidelines, regulatory requirements, and internal policies across registered funds and separate accounts. The team partners closely with Investment Management, Legal, Operations, and Technology to maintain a strong control environment.

The Manager – Investment Compliance is responsible for leading and developing a team of investment compliance professionals. You will foster a collaborative, high-performing environment, provide coaching and mentorship, and help build team capabilities while driving consistency and accountability across compliance activities.

How You Will Add Value

Core Responsibilities

  • You will lead pre- and post-trade portfolio compliance monitoring
  • You will manage, mentor, and develop a team of compliance professionals, providing day-to-day guidance and performance coaching
  • You will interpret investment guidelines for funds and separate accounts
  • You will monitor portfolio adherence to mandates and regulations
  • You will manage breach escalation, analysis, and remediation
  • You will support board reporting and regulatory examinations
  • You will advise on new product launches and onboarding
  • You will enhance compliance systems and data quality

Strategic Responsibilities

  • You will drive process improvements and standardization
  • You will build team capabilities by identifying development opportunities and strengthening bench strength

Team & Collaboration

  • You will train and advise investment teams and trading desks
  • You will create a strong team culture that promotes accountability, collaboration, and continuous improvement across stakeholders
What Will Help You Be Successful in This Role

Experience, Education & Certifications

  • 10+ years in investment or portfolio compliance
  • Knowledge of Investment Company Act of 1940 and Advisers Act
  • Demonstrated experience leading and developing teams in a people leadership role while overseeing day-to-day compliance operations
  • Experience with regulatory exams and board reporting

Technical Skills

  • Experience with Aladdin, Charles River or similar systems
  • Knowledge of multi-asset strategies and financial instruments

Soft Skills

  • Strong collaboration with cross-functional stakeholders
  • Ability to develop, coach, and inspire team members
  • Ability to drive process and system improvements
Work Schedule & Location

This role will work a hybrid schedule in our Boston, MA, New York or Pennsylvania office.

Franklin Templeton offers employees a competitive and valuable range of total rewards—monetary and non-monetary — designed to support their well-being and recognize their time, talents, and results. Along with base compensation, employees are eligible for an annual discretionary bonus, a 401(k) plan with a generous match, and recognition rewards. We also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and disability benefits, employee stock investment program, learning resources, career development programs, reimbursement for certain education expenses, paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays) and a motivational wellbeing program. We expect the annual salary for this position to range between $134,500.00 – $166,000.00 depending on location and level of relevant experience, plus discretionary bonus.

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