Investment Compliance Associate, Monitoring (Investment Compliance)

Location: Baltimore, MD, United States; hybrid work with up to one day per week from home

Base salary: $69,500–$118,000 annually for Maryland, Colorado, Washington, and remote workers. Other listed ranges are $76,500–$130,000 for Washington, D.C. and $87,000–$148,000 for New York and California.

Company

Global asset management organization providing equity, fixed income, and multi-asset investment solutions to individuals, advisors, institutions, and retirement plan sponsors.

What you will do

• Analyze pre-trade, post-trade, and batch compliance alerts in the Charles River compliance monitoring system.
• Interpret investment guidelines and communicate with Trading, Investment, Client Operations, Legal, and other stakeholders.
• Monitor manual compliance processes, identify data issues and unusual activity, and escalate potential violations.
• Participate in the Global Client Investment Reporting process and maintain organized review and escalation records.
• Develop knowledge of investment strategies, security types, derivatives, and compliance monitoring concepts.
• Support projects involving research, testing, documentation, implementation, and new monitoring requirements.

Requirements

• Bachelor’s degree or equivalent combination of education and relevant experience.
• 2+ years of relevant experience in investment operations, compliance, trading support, portfolio operations, client reporting, data analysis, financial services, or a related field preferred.
• Foundational understanding of investment products and security types, including equities, fixed income instruments, funds, or derivatives.
• Familiarity with trading, IBOR, order management, compliance, reporting, or data systems preferred.
• Strong analytical, research, problem-solving, communication, organizational, and attention-to-detail skills.
• FINRA licenses are not required and will not be supported for this role.

Nice to have

• Investment compliance or related analytical experience.
• Experience working in a trading-related environment.
• Knowledge of Charles River or comparable compliance monitoring systems.

Culture & Benefits

• Hybrid work schedule with up to one day per week from home.
• Annual bonus eligibility and competitive compensation.
• Retirement plan, health and wellness benefits, and paid time off.
• Family care resources, including fertility and adoption benefits.
• Inclusive workplace focused on collaboration, diversity, and equal opportunity.