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Senior Compliance Associate Jobs (NOW HIRING)

Humana

Senior Compliance Professional

Louisville, KY

The Senior Compliance Professional ensures compliance with legal, contractual, statutory and ... Although this is a remote position, the associate in this position will be expected to work in the ...

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Senior Compliance Associate information

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$43K

$106.7K

$159.5K

How much do senior compliance associate jobs pay per year?

As of Jul 21, 2026, the average yearly pay for senior compliance associate in the United States is $106,734.00, according to ZipRecruiter salary data. Most workers in this role earn between $88,000.00 and $124,000.00 per year, depending on experience, location, and employer.

What are the typical challenges faced by a Senior Compliance Associate when balancing regulatory requirements with business objectives?

A Senior Compliance Associate often encounters the challenge of ensuring that all business activities align with complex and evolving regulations without hindering organizational goals. This requires strong communication skills to interpret regulations, advise business units, and negotiate practical solutions that protect the company while enabling growth. Collaborating closely with legal teams, operations, and senior leadership is essential to foster a culture of compliance and proactively address potential issues before they escalate. Staying updated on regulatory changes and adapting internal policies accordingly is also a key part of the role.

What is the difference between Senior Compliance Associate vs Compliance Analyst?

AspectSenior Compliance AssociateCompliance Analyst
Required CredentialsBachelor's degree, compliance certifications (e.g., CAMS, CRCM)Bachelor's degree, often entry-level certifications
Work EnvironmentFinancial institutions, healthcare, regulated industriesFinancial services, corporate compliance teams
Employer & Industry UsageUsed in banking, finance, healthcare sectorsCommon in finance, insurance, corporate compliance
Search & Comparison IntentUnderstanding senior roles, responsibilities, career pathEntry to mid-level compliance roles, responsibilities

The Senior Compliance Associate typically holds more experience, advanced certifications, and handles complex compliance issues within regulated industries. Compliance Analysts are often entry-level or mid-level roles focused on monitoring and supporting compliance programs. The senior role involves leadership and strategic oversight, while the analyst role emphasizes data analysis and reporting.

What are Senior Compliance Associates?

Senior Compliance Associates are professionals responsible for ensuring that an organization adheres to relevant laws, regulations, and internal policies. They typically oversee compliance programs, conduct audits, and provide guidance to other staff on compliance matters. Their role often involves identifying potential risks, investigating compliance issues, and implementing corrective actions. Senior Compliance Associates also stay updated on regulatory changes to ensure the organization remains compliant. They may work in various industries, including finance, healthcare, and manufacturing.

What are the key skills and qualifications needed to thrive as a Senior Compliance Associate, and why are they important?

A Senior Compliance Associate typically needs a strong understanding of regulatory frameworks, risk assessment, and compliance monitoring, often supported by a degree in law, finance, or a related field. Familiarity with compliance management systems, reporting tools, and certifications such as Certified Compliance & Ethics Professional (CCEP) are highly valued. Attention to detail, integrity, and excellent communication skills help navigate complex regulations and foster a culture of compliance. These skills are crucial to ensure organizational adherence to laws, mitigate risks, and maintain a trustworthy business environment.
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Senior Compliance Associate jobs near you
Infographic showing various Senior Compliance Associate job openings in the United States as of July 2026, with employment types broken down into 90% Full Time, 5% Part Time, and 5% Contract. Highlights an 95% In-person, and 5% Hybrid job distribution, with an average salary of $106,734 per year, or $51.3 per hour.
Senior Compliance Associate

Senior Compliance Associate

Capital Investment Advisors

Atlanta, GA • On-site

Full-time

Re-posted 12 days ago

Job description

At Capital Investment Advisors (CIA), we strive to help clients reach their goals by focusing on our specialty: Income Investing. We are a fee-only financial advisory and portfolio management firm headquartered in Atlanta with offices throughout the U.S. Our advisors in Georgia, Florida, Colorado, Texas, and Arizona provide clients with a full range of financial advice. Since 1996, CIA has been providing financial strategy and management tailored to the client’s individual circumstances and objectives.   

Our tight-knit team brings together compliance professionals, financial advisors, investment associates, client service managers and associates, operations specialists, business development professionals, and marketing team members, all working collaboratively to help deliver an exceptional client experience. Our Leadership Team is dedicated to fostering employee growth both professionally and personally, and to making every CIA experience meaningful and memorable.   

Senior Compliance Associate 

We are looking for an ethical, team-oriented Senior Compliance Associate to strengthen and elevate our compliance infrastructure. Reporting to the Compliance Director and partnering closely with members of the Compliance Team, this role will support and help administer key areas of the firm’s compliance program while serving as a trusted compliance resource across the organization. 

The ideal candidate possesses a strong working knowledge of the Investment Advisers Act of 1940, including the regulatory requirements applicable to SEC registered investment advisers and other relevant regulations, and is comfortable providing compliance guidance and escalating concerns when necessary. The Senior Compliance Associate demonstrates an unwavering commitment to maintaining and enhancing compliance standards, while also being respected by team members as a positive and approachable resource who supports them in their daily interactions with clients.  

This position is based in our Atlanta, GA office (Sandy Springs) and will require occasional travel to other office locations. This position is eligible for a hybrid work schedule after completion of a successful introductory period.  

Core Responsibilities:  

  • Own and manage Advertising & Marketing review responsibilities within the compliance program, strong experience with and understanding of the SEC’s Marketing Rule is preferred 
  • Lead third-party manager and alternative investment oversight 
  • Provide compliance and regulatory guidance for new business initiatives, technology platforms, marketing strategies, and expansion efforts 
  • Provide compliance support and regulatory input for technology platforms, marketing strategies, and other business initiatives and expansion efforts 
  • Coordinate and support the Asset Management Oversight Committee (AMOC) and Advisor Scorecard programs, as well as other audit work and internal compliance reviews 
  • Support DOL PTE 2020-02 rollover documentation and retrospective review 
  • Contribute to Rule 206(4)-7 annual review and required regulatory filings 
  • Support SEC examinations, including gathering documentation and drafting responses 
  • Enhance compliance workflows and strengthen documentation standards 
  • Assist with onboarding and development of newer team members 

Skills & Qualifications:  

  • 5+ years of experience in an SEC-registered investment adviser or broker-dealer compliance role 
  • Direct SEC exam experience preferred 
  • Strong knowledge of the Advisers Act, Form ADV, Marketing Rule, Code of Ethics, portfolio management oversight, and fiduciary obligations; SEC marketing review experience preferred  
  • Bachelor’s degree from an accredited university 
  • IACCP® designation a plus 
  • Systems-oriented mindset with experience improving workflows  
  • Excellent written and verbal communication skills  
  • Strong attention to detail while maintaining a big picture perspective 
  • Discretely handles confidential and highly sensitive information  
  • Possesses a demonstrated ability to exercise independent regulatory judgment in a fast-paced, growth-oriented environment 
  • Self-starter with the ability to successfully execute tasks, independently complete projects and effectively conduct audit work with minimal oversight  
  • Excellent ability to manage competing priorities   
  • Exercises sound judgment and considers the firm’s best interest when making decisions and carrying out responsibilities 
  • Committed to a culture of compliance  
  • Exhibits the Capital Investment Advisors’ five Core Values in everything they do  

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