Mid Level Compliance Associate Jobs
Mid level compliance associate jobs go to professionals ready to own regulatory workflows end to end, guide junior staff, and make sound risk decisions with minimal oversight. Roles are split across on-site, hybrid, and remote settings in Investment & Asset Management, Education, and Banking & Financial Services, with employers like Coinbase, JPMorganChase, and New York Life hiring at this level now.
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Showing 5 of 8+ Mid Level Compliance Associate jobs
Over the last 20 years, Ares’ success has been driven by our people and our culture. Today, our team is guided by our core values – Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy – and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career development and employee-focused programming, we are committed to fostering a welcoming and inclusive work environment where high-performance talent of diverse backgrounds, experiences, and perspectives can build careers within this exciting and growing industry.
Job Description
SUMMARY
Join one of the industry's leading alternative investment managers as part of a high-impact Investment Operations team supporting a rapidly growing global business. This role offers the opportunity to shape and evolve the Portfolio Compliance function by partnering closely with Portfolio Managers, Legal, Compliance, Technology, and senior leadership. Beyond day-to-day oversight, you will drive strategic initiatives, enhance technology and automation, influence process design, and help scale the firm's operating model as the business continues to grow.
Why join us:
- Play a key role supporting one of the world's largest and fastest-growing alternative investment platforms.
- Partner directly with senior investment professionals and cross-functional leaders.
- Lead initiatives that improve technology, automation, and operational scalability.
- Take ownership of high-profile projects with visibility across the organization.
Join a collaborative team where innovation, continuous improvement, and professional development are encouraged and rewarded.
PRIMARY FUNCTIONS & RESPONSIBILITIES
Portfolio Compliance Oversight
- Own the portfolio compliance oversight framework for a diverse and growing global investment platform
- Serve as a trusted advisor to interpret investment guidelines and regulatory requirements, translating them into implementable compliance rules and operational controls
- Lead daily pre- and post-trade compliance monitoring across assigned portfolios, ensuring adherence to regulatory and client-mandated investment guidelines
- Review and resolve exceptions, escalating material issues and recommending corrective actions
- Oversee the coding, testing, and validation of new or updated compliance rules within monitoring systems
- Strengthen the control environment by identifying process gaps, designing enhancements, and implementing sustainable solutions
Cross-Functional Collaboration
- Build trusted partnerships across Portfolio Management, Investor Relations, Legal, Compliance, Technology, and Data teams to solve complex business challenges and deliver scalable operational solutions.
- Support onboarding of new accounts, products, and investment strategies by reviewing guidelines and ensuring operational feasibility
Project & Change Management
- Participate in strategic initiatives that modernize the Portfolio Compliance operating model through automation, technology enhancements, and process redesign
- Partner with Technology and Data to deliver new system capabilities and improve data quality across the investment lifecycle
- Drive continuous improvement by proposing and implementing process optimizations
Reporting & Analytics
- Prepare and review compliance reporting for senior management, and external clients
- Analyze trends in compliance exceptions and operational metrics to identify emerging risks or improvement opportunities
- Support ad-hoc data requests, audits, and regulatory inquiries with accuracy and professionalism
QUALIFICATIONS
Education
- A Bachelor’s degree is required.
Experience Required
- 5+ years of experience in portfolio compliance or a related function within operations
- Experience interacting directly with senior stakeholders
- Experience collaborating with cross-function teams like Portfolio Management, Investor Relations, Legal, Compliance, and Technology
- Experience with portfolio compliance monitoring platforms (Allvue experience preferred)
- Proven track record resolving complex compliance exceptions and testing
General Requirements
- Demonstrated ability to think critically, exercise sound judgment, and solve complex problems in a fast-paced environment.
- Strong understanding of investment products, including private credit, fixed income, derivatives, and commingled vehicles.
- Ability to interpret complex investment guidelines and translate them into practical operational controls.
- Excellent communication and relationship-building skills, with the ability to influence stakeholders across Investment Management, Legal, Compliance, Technology, and Operations.
- Highly organized with the ability to manage multiple priorities while maintaining a strong attention to detail.
- Self-starter with a continuous improvement mindset and a passion for enhancing processes through technology and automation.
- Strong analytical and technical skills, including proficiency in Excel and experience working with large data sets and workflow systems.
- Comfortable operating in a dynamic, collaborative environment with a high degree of ownership and accountability.
- Familiarity with regulatory frameworks such as the Investment Company Act, UCITS, and ERISA
Reporting Relationships
Managing Director, Treasury Operations
Compensation
The anticipated base salary range for this position is listed below. Total compensation may also include a discretionary performance-based bonus. Note, the range takes into account a broad spectrum of qualifications, including, but not limited to, years of relevant work experience, education, and other relevant qualifications specific to the role.
$130,000 - $150,000
The firm also offers robust Benefits offerings. Ares U.S. Core Benefits include Comprehensive Medical/Rx, Dental and Vision plans; 401(k) program with company match; Flexible Savings Accounts (FSA); Healthcare Savings Accounts (HSA) with company contribution; Basic and Voluntary Life Insurance; Long-Term Disability (LTD) and Short-Term Disability (STD) insurance; Employee Assistance Program (EAP), and Commuter Benefits plan for parking and transit.
Ares offers a number of additional benefits including access to a world-class medical advisory team, a mental health app that includes coaching, therapy and psychiatry, a mindfulness and wellbeing app, financial wellness benefit that includes access to a financial advisor, new parent leave, reproductive and adoption assistance, emergency backup care, matching gift program, education sponsorship program, and much more.
There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.
Over the last 20 years, Ares’ success has been driven by our people and our culture. Today, our team is guided by our core values – Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy – and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career development and employee-focused programming, we are committed to fostering a welcoming and inclusive work environment where high-performance talent of diverse backgrounds, experiences, and perspectives can build careers within this exciting and growing industry.
Job Description
SUMMARY
Join one of the industry's leading alternative investment managers as part of a high-impact Investment Operations team supporting a rapidly growing global business. This role offers the opportunity to shape and evolve the Portfolio Compliance function by partnering closely with Portfolio Managers, Legal, Compliance, Technology, and senior leadership. Beyond day-to-day oversight, you will drive strategic initiatives, enhance technology and automation, influence process design, and help scale the firm's operating model as the business continues to grow.
Why join us:
- Play a key role supporting one of the world's largest and fastest-growing alternative investment platforms.
- Partner directly with senior investment professionals and cross-functional leaders.
- Lead initiatives that improve technology, automation, and operational scalability.
- Take ownership of high-profile projects with visibility across the organization.
Join a collaborative team where innovation, continuous improvement, and professional development are encouraged and rewarded.
PRIMARY FUNCTIONS & RESPONSIBILITIES
Portfolio Compliance Oversight
- Own the portfolio compliance oversight framework for a diverse and growing global investment platform
- Serve as a trusted advisor to interpret investment guidelines and regulatory requirements, translating them into implementable compliance rules and operational controls
- Lead daily pre- and post-trade compliance monitoring across assigned portfolios, ensuring adherence to regulatory and client-mandated investment guidelines
- Review and resolve exceptions, escalating material issues and recommending corrective actions
- Oversee the coding, testing, and validation of new or updated compliance rules within monitoring systems
- Strengthen the control environment by identifying process gaps, designing enhancements, and implementing sustainable solutions
Cross-Functional Collaboration
- Build trusted partnerships across Portfolio Management, Investor Relations, Legal, Compliance, Technology, and Data teams to solve complex business challenges and deliver scalable operational solutions.
- Support onboarding of new accounts, products, and investment strategies by reviewing guidelines and ensuring operational feasibility
Project & Change Management
- Participate in strategic initiatives that modernize the Portfolio Compliance operating model through automation, technology enhancements, and process redesign
- Partner with Technology and Data to deliver new system capabilities and improve data quality across the investment lifecycle
- Drive continuous improvement by proposing and implementing process optimizations
Reporting & Analytics
- Prepare and review compliance reporting for senior management, and external clients
- Analyze trends in compliance exceptions and operational metrics to identify emerging risks or improvement opportunities
- Support ad-hoc data requests, audits, and regulatory inquiries with accuracy and professionalism
QUALIFICATIONS
Education
- A Bachelor’s degree is required.
Experience Required
- 5+ years of experience in portfolio compliance or a related function within operations
- Experience interacting directly with senior stakeholders
- Experience collaborating with cross-function teams like Portfolio Management, Investor Relations, Legal, Compliance, and Technology
- Experience with portfolio compliance monitoring platforms (Allvue experience preferred)
- Proven track record resolving complex compliance exceptions and testing
General Requirements
- Demonstrated ability to think critically, exercise sound judgment, and solve complex problems in a fast-paced environment.
- Strong understanding of investment products, including private credit, fixed income, derivatives, and commingled vehicles.
- Ability to interpret complex investment guidelines and translate them into practical operational controls.
- Excellent communication and relationship-building skills, with the ability to influence stakeholders across Investment Management, Legal, Compliance, Technology, and Operations.
- Highly organized with the ability to manage multiple priorities while maintaining a strong attention to detail.
- Self-starter with a continuous improvement mindset and a passion for enhancing processes through technology and automation.
- Strong analytical and technical skills, including proficiency in Excel and experience working with large data sets and workflow systems.
- Comfortable operating in a dynamic, collaborative environment with a high degree of ownership and accountability.
- Familiarity with regulatory frameworks such as the Investment Company Act, UCITS, and ERISA
Reporting Relationships
Managing Director, Treasury Operations
Compensation
The anticipated base salary range for this position is listed below. Total compensation may also include a discretionary performance-based bonus. Note, the range takes into account a broad spectrum of qualifications, including, but not limited to, years of relevant work experience, education, and other relevant qualifications specific to the role.
$130,000 - $150,000
The firm also offers robust Benefits offerings. Ares U.S. Core Benefits include Comprehensive Medical/Rx, Dental and Vision plans; 401(k) program with company match; Flexible Savings Accounts (FSA); Healthcare Savings Accounts (HSA) with company contribution; Basic and Voluntary Life Insurance; Long-Term Disability (LTD) and Short-Term Disability (STD) insurance; Employee Assistance Program (EAP), and Commuter Benefits plan for parking and transit.
Ares offers a number of additional benefits including access to a world-class medical advisory team, a mental health app that includes coaching, therapy and psychiatry, a mindfulness and wellbeing app, financial wellness benefit that includes access to a financial advisor, new parent leave, reproductive and adoption assistance, emergency backup care, matching gift program, education sponsorship program, and much more.
There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.
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Mid Level Compliance Associate Jobs: Frequently Asked Questions
How do I get a mid level compliance associate job?
Position your experience around ownership, not just participation. Highlight specific programs you managed, audits you led, or policies you drafted independently. Emphasize familiarity with relevant regulations and any cross-functional collaboration you drove. Applications that show concrete outcomes, such as a resolved audit finding or a new training rollout, stand out far more than a list of duties performed under supervision.
Which companies hire mid level compliance associates?
Companies hiring mid level compliance associates right now include Coinbase, JPMorganChase, and New York Life, based on current listings on Migrate Mate as of August 2026. Hiring at this level is spread across regulated industries including financial services, healthcare, and technology, where internal compliance functions need professionals who can operate independently and handle complex regulatory requirements without constant direction.
Are there remote mid level compliance associate jobs?
Yes, remote and hybrid options are common at this level. About 43% of mid level compliance associate openings are remote or hybrid as of August 2026, reflecting how much compliance work is document-driven and systems-based. Fully on-site roles still exist, particularly in highly regulated sectors where in-person access to records, teams, or facilities is required.
How do I move up to a mid level compliance associate role?
Moving into a mid level compliance associate role requires building beyond task execution into genuine ownership. That means taking on full project cycles, deepening expertise in a specific regulatory area, and demonstrating measurable impact, such as reducing audit findings or improving policy adherence rates. Professionals who seek out stretch assignments, earn relevant certifications, and document their contributions clearly tend to make this transition faster.
Which industries hire the most mid level compliance associates?
Mid Level compliance associate roles concentrate in Investment & Asset Management, Education, and Banking & Financial Services, based on current listings on Migrate Mate as of August 2026. These sectors face the most intensive regulatory scrutiny and require experienced compliance professionals who can manage ongoing requirements, respond to examinations, and keep internal programs current without relying on senior oversight for every decision.