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Chief Compliance Officer Ria Jobs (NOW HIRING)

PeopleFluent

Chief Compliance Officer

Boston, MA · On-site

We are seeking a Chief Compliance Officer who can provide advisory oversight in all facets of our ... The ideal candidate will have extensive knowledge of today's compliance environment for RIA's and ...

PeopleFluent

Chief Compliance Officer

Boston, MA

We are seeking a Chief Compliance Officer who can provide advisory oversight in all facets of our ... The ideal candidate will have extensive knowledge of today's compliance environment for RIA's and ...

EagleBank

Chief Compliance Officer

Bethesda, MD · Hybrid

$176K - $303K/yr

The Chief Compliance Officer also serves as the Bank's Privacy Officer, CRA Compliance Officer, Reg O Officer and is a key member of the Ethics Office. The Chief Compliance Officer partners closely ...

EagleBank

Chief Compliance Officer

Bethesda, MD · On-site

$176K - $303K/yr

The Chief Compliance Officer also serves as the Bank's Privacy Officer, CRA Compliance Officer, Reg O Officer and is a key member of the Ethics Office. The Chief Compliance Officer partners closely ...

Banking

Deputy Chief Compliance Officer

New York, NY

Reporting to the Chief Compliance Officer, the Deputy Chief Compliance Officer is the independent compliance partner to multiple Business Divisions and is responsible for ensuring that the Compliance ...

Blue Ridge Wealth

RIA Compliance Officer

Knoxville, TN · On-site

$80K - $100K/yr

... Chief Compliance Officer, but our intention is to hire someone who will be ready to graduate into ... Preferred: 2-5 years of experience in compliance, legal, or regulatory roles within an RIA, broker ...

inlandgroup

Chief Compliance Officer

Oak Brook, IL · On-site

The Head of Compliance is responsible for designing, implementing, and overseeing the firm ... This includes, but is not limited to focus on the RIA, sales, private placements, and SEC ...

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Chief Compliance Officer Ria information

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$31.5K

$98.9K

$207.5K

How much do chief compliance officer ria jobs pay per year?

As of Jun 9, 2026, the average yearly pay for chief compliance officer ria 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 of the main challenges a Chief Compliance Officer at Ria might encounter on a daily basis?

A Chief Compliance Officer at Ria often faces the challenge of navigating a complex and evolving regulatory landscape, especially given the company's global footprint in the financial services sector. Ensuring compliance across multiple jurisdictions and adapting to frequent regulatory changes can require proactive risk assessment and close collaboration with legal and operational teams. Additionally, maintaining a strong compliance culture within the organization, training staff on policies, and responding promptly to incidents or audits are crucial aspects of the job. These responsibilities make the role fast-paced, dynamic, and integral to Ria's long-term success.

What is a Chief Compliance Officer RIA job?

A Chief Compliance Officer (CCO) for a Registered Investment Advisor (RIA) is responsible for ensuring the firm complies with SEC and state regulations. They develop and implement compliance policies, conduct risk assessments, oversee audits, and educate employees on regulatory requirements. The CCO also monitors changes in industry regulations and updates compliance programs accordingly. Their role is crucial in protecting the firm from legal and reputational risks while maintaining ethical business practices.

What are the key skills and qualifications needed to thrive in the Chief Compliance Officer Ria position, and why are they important?

To thrive as a Chief Compliance Officer at Ria, you need expertise in regulatory compliance, risk management, and financial industry standards, typically backed by a degree in law, finance, or a related field. Familiarity with regulatory management software, anti-money laundering (AML) platforms, and certifications such as CAMS or CRCM is highly valued. Strong leadership, excellent communication, and the ability to influence organizational culture are vital soft skills in this leadership role. These competencies are crucial to ensure Ria remains compliant with complex regulations while maintaining operational integrity and trust with stakeholders.

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Chief Compliance Officer Ria jobs near you
Infographic showing various Chief Compliance Officer Ria job openings in the United States as of June 2026, with employment types broken down into 1% Full Time, 70% Part Time, and 29% Contract. Highlights an 64% Physical, 18% Hybrid, and 18% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Chief Compliance Officer

Tyree and D'Angelo Partners

Dallas, TX • On-site

Full-time

Posted 6 days ago

Job description

Position Title: Chief Compliance Officer
Reporting To: CEO
Location: Dallas, Texas (in-person strongly preferred)
Company: TDP Confidential Portfolio Company
Private Equity Firm Overview
Tyree & D'Angelo Partners ("TDP") is a private equity investment firm with offices in Chicago and Dallas that makes control ownership investments in, and partners with, lower middle market businesses with the goal of creating meaningful value for all involved. TDP is currently investing out of its third fund and has managed and created over $3 billion of capital and company enterprise value. TDP has significant experience investing in financial, business, and consumer service businesses and has completed over 2,000 investment partnerships. Please visit www.TDPfund.com for more information.
Confidential Portfolio Company Overview
TDP has invested in a confidential portfolio company in the wealth management industry. The Company is a rapidly growing Registered Investment Advisor ("RIA"), focused primarily on delivering fee-based comprehensive wealth management services to high net worth and mass affluent customers. The Company is based in Dallas and forms long-term partnerships with leading independent RIAs and advisory teams across the US.
The Company's mission is to improve the lives of its advisors by helping them achieve their personal, professional, and financial goals. It does so by creating customized plans to deliver tailored support and resources that ultimately result in the industry-leading advisor satisfaction, customer service, and organic growth. Areas of support include compliance, recruiting, HR, accounting, finance, advisor growth, advisor ownership, and M&A resources.
Advisors are aligned through long-term economic incentives that deliver the most value over time with the lowest risk. The Company's leadership team purposefully seeks highly experienced executives with a proven track record of growing advisors, customers, and cash flows.
Position Overview
We are currently seeking a hands-on Chief Compliance Officer to join our Confidential Portfolio Company. This leader will oversee the firm's regulatory compliance program, ensure compliance accuracy, regulatory adherence, and operational scalability across the Company, which is rapidly growing. The ideal candidate brings deep experience in RIA compliance, combined with the strategic mindset to support a multi-entity growth strategy.
Job Responsibilities
Build a best-in-class compliance infrastructure (including scalable teams, processes, and systems) for a fast-growing, multi-practice RIA with industry-leading organic and M&A growth.
Foundational & Regulatory
  • Serve as primary SEC liaison, managing all examinations, inquiries, and regulatory correspondence.
  • Own the Form ADV process across all RIA entities and acquired practices.
  • Monitor evolving SEC rules (Marketing Rule, Reg BI, custody) and translate them into firm policy rapidly.
  • Maintain the firm's fiduciary framework across every practice and service line.
  • Design and maintain a centralized, scalable WSP framework with a governance calendar tied to regulatory changes and M&A activity.

Scalable Infrastructure & M&A Integration
  • Lead selection and optimization of the compliance tech stack covering personal trading, surveillance, archiving, and reporting.
  • Build automated surveillance and exception reporting workflows that scale with firm growth.
  • Develop a repeatable M&A compliance due diligence playbook and post-close integration framework.
  • Recruit and develop a tiered compliance team with a staffing model that balances centralized oversight with practice-level support.
  • Build a compliance culture that positions the function as a business enabler.

Risk Management & Ongoing Oversight
  • Conduct annual firm-wide risk assessments by practice, service line, and regulatory exposure.
  • Oversee portfolio surveillance for suitability, fee billing accuracy, and best execution across custodians.
  • Manage conflicts of interest disclosures and mitigation across compensation structures and affiliated relationships.
  • Maintain a vendor due diligence program covering all material third-party relationships.

Reporting, Culture & Strategic Partnership
  • Deliver regular compliance reporting to firm leadership including risk dashboards, exam updates, and incident logs.
  • Design and deliver role-based annual compliance training with attestation across all practices.
  • Partner with M&A, finance, HR, and technology to embed compliance early in all growth initiatives.
  • Position the firm's compliance infrastructure as a competitive advantage in advisor recruiting and acquisitions.

Qualifications
  • 10+ years of compliance experience, with meaningful time at an SEC-registered RIA or in an RIA-focused regulatory/consulting role
    • Experience interfacing directly with the SEC, whether through routine examinations, deficiency responses, or ongoing regulatory dialogue.
    • Strong working knowledge of Form ADV preparation, including multi-entity filings and material change amendments triggered by acquisitions.
  • Demonstrated experience building or significantly scaling a compliance function within a fast-growing and/or multi-practice RIA environment, including hands-on experience with M&A compliance integration, including due diligence and post-close onboarding of acquired practices.
  • Proficiency with compliance technology platforms and a track record of leading systems implementations.
  • Excellent leadership and a builder mentality - comfortable with ambiguity, able to create structure where little exists previously, and energized by a fast-moving environment.
  • JD, MBA, or equivalent advanced degree preferred but not required.
  • IACCP designation strongly preferred.
  • Series 65 or equivalent required

Compensation
Highly competitive compensation consisting of base salary, an annual performance bonus, and equity ownership.

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