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Remote Investment Compliance Jobs (NOW HIRING)

OneDigital

Compliance Analyst - Remote

We also provide personalized financial planning and investment services to help families succeed in ... as compliance testing and reporting. This position may be remote or located in Overland Park ...

Confluence Technologies

Compliance Manager

Fully remote working environment. * Exposure to investment advisers, broker-dealers, private funds and registered funds. * A varied workload spanning regulatory filings, compliance testing ...

WellSpan Health

Investment Analyst

York, PA · Remote

... REMOTE Duties and Responsibilities Essential Functions: * Manages the company investment portfolio to support the Outsourced Chief Investment Officer (OCIO) by maintaining compliance with the ...

RSM Global

Investment Specialist

Investment Specialist Risk & Regulatory Consulting, LLC (RRC) Remote-USA location Open to Full-time ... Execute testing of compliance with state laws, rules and regulations. * Participate in client ...

trainwell

Licensed Investment Representative

Suitland, MD · On-site +1

$60K - $75K/yr

... in a remote environment. Detail-oriented with strong organizational and compliance habits ... Commission structure on all investment sales (uncapped earning potential). Paid time off (PTO)

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Remote Investment Compliance information

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$31.5K

$98.9K

$207.5K

How much do remote investment compliance jobs pay per year?

As of Jul 26, 2026, the average yearly pay for remote investment compliance in the United States is $98,949.00, according to ZipRecruiter salary data. Most workers in this role earn between $61,500.00 and $115,000.00 per year, depending on experience, location, and employer.

What are some common challenges faced by professionals in a remote investment compliance role, and how can they be addressed?

Remote investment compliance professionals often encounter challenges such as staying updated on evolving regulations, coordinating effectively with distributed teams, and maintaining secure access to sensitive data. Overcoming these hurdles involves proactive communication, participation in regular virtual meetings, and utilizing secure, compliant technology solutions. Additionally, ongoing professional development and leveraging centralized documentation help ensure accuracy and regulatory alignment, even in a remote environment.

What are the key skills and qualifications needed to thrive as a Remote Investment Compliance professional, and why are they important?

To thrive as a Remote Investment Compliance professional, you need a strong understanding of financial regulations, investment products, and compliance frameworks, typically supported by a degree in finance, law, or a related field. Familiarity with compliance management systems, regulatory reporting tools, and certifications such as Certified Compliance & Ethics Professional (CCEP) or similar is highly valuable. Exceptional attention to detail, analytical thinking, and clear communication are vital soft skills for identifying risks and collaborating remotely. These skills and qualifications are essential to ensure regulatory adherence, mitigate organizational risk, and maintain trust with clients and authorities in a virtual work environment.

What is a Remote Investment Compliance professional?

A Remote Investment Compliance professional is responsible for ensuring that investment activities and processes adhere to regulatory requirements and internal policies while working from a remote location. Their duties include monitoring transactions, conducting compliance reviews, and updating documentation to prevent violations of financial laws and regulations. These professionals often collaborate with legal and operational teams to identify risks and ensure compliance standards are met. Remote roles require strong communication skills and the ability to use digital compliance tools to maintain oversight from afar.

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

AspectRemote Investment ComplianceRemote Investment Analyst
Required CredentialsCertifications like CFA, CIMA, or compliance-specific licensesTypically CFA or related financial certifications
Work EnvironmentFocus on regulatory adherence, policy implementation, and compliance monitoringAnalyze financial data, evaluate investment opportunities, and support portfolio decisions
Employer & Industry UsageUsed by asset managers, hedge funds, and financial institutions for compliance rolesEmployed by investment firms, banks, and asset management companies for analysis roles

Remote Investment Compliance and Remote Investment Analyst roles share some certifications and industry settings but differ mainly in focus. Compliance roles emphasize regulatory adherence and policy enforcement, while analyst roles focus on financial analysis and investment evaluation. Both are vital in the investment industry but serve distinct functions.

More about Remote Investment Compliance jobs
What cities are hiring for Remote Investment Compliance jobs? Cities with the most Remote Investment Compliance job openings:
What are the most commonly searched types of Investment Compliance jobs? The most popular types of Investment Compliance jobs are:
What states have the most Remote Investment Compliance jobs? States with the most job openings for Remote Investment Compliance jobs include:
What job categories do people searching Remote Investment Compliance jobs look for? The top searched job categories for Remote Investment Compliance jobs are:
Remote Investment Compliance jobs near you
Infographic showing various Remote Investment Compliance job openings in the United States as of July 2026, with employment types broken down into 100% Full Time. Highlights an 100% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.
Investment Guideline Compliance Associate

Investment Guideline Compliance Associate

Tidal Financial Group

Remote

$90K - $115K/yr

Full-time

Posted 19 days ago

Job description

The Tidal Financial Group is a leading ETF investment technology platform dedicated to creating, operating, and growing ETFs. We combine expertise and innovative partnership approaches to offer comprehensive, value-generating ETF solutions.
Our platform offers best-in-class strategic guidance, product planning, trust and fund services, legal support, operations support, marketing and research, and sales and distribution services.
About the role
The primary responsibility of the Associate, Portfolio Compliance & Review Specialist, is to join the compliance team that handles the establishment of controls in Bloomberg AIM to ensure adherence to investment limits and restrictions included in ETF disclosure documents for ETFs sponsored by Tidal Investments. The scope of this role will span the full lifecycle of the trading compliance process-from the implementation of investment policies in fund disclosure documents into the Bloomberg AIM system through to pre- and post-trade compliance monitoring.
Qualifications
  • Five or more years of direct experience in a comparable role handling investment guideline compliance matters at an investment management firm involving ETF compliance, portfolio management oversight, or investment operations.
  • Bachelor's degree in finance, economics, accounting, or related field required; advanced degree, or JD preferred.
  • Knowledge of ETF regulatory framework
  • Asset class knowledge (equities, fixed income, derivatives, alternatives, structured products, etc.).
  • Experience in identifying compliance and portfolio management issues in complex investment strategies.
  • Energetic self-starter with excellent organizational, communication (verbal and written), interpersonal, and drafting skills.
  • Proven ability to manage and prioritize multiple projects simultaneously.
  • Demonstrated capacity to work both independently and collaboratively under tight deadlines.
  • Strong computer proficiency, including advanced typing skills and deep familiarity with Microsoft Word; ability to quickly learn and adapt to new software and processes.
  • Working knowledge of SEC rules and regulations applicable to mutual funds and ETFs is preferred.
  • Series licenses and/or CFA designation strongly preferred.
  • Proficiency in compliance systems, data reporting, and portfolio analytics tools.
  • Comfortable leveraging AI tools to streamline investment guideline compliance checks and exception documentation.
  • Excellent communication skills with ability to explain complex compliance issues to stakeholders at all levels.
  • Meticulous attention to detail while maintaining a big-picture perspective.

We are prioritizing candidates who are located within proximity to Chicago, IL; Milwaukee, WI; New York City, NY; and West Palm Beach, FL.
The pay range for this role is:
90,000 - 115,000 USD per year (Remote (United States))

Apply