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Chief Compliance Officer Ria Jobs (NOW HIRING)

Oanda Corporation

Chief Compliance Officer

New York, NY · On-site

OANDA is looking for a Chief Compliance Officer (CCO) to lead our US compliance strategy and champion a robust culture of integrity. How do we work? As a registered Futures Commission Merchant (FCM ...

Five Star Bank

Chief Compliance Officer

Buffalo, NY · On-site

$160K - $210K/yr

As a key senior leader of a growing and innovative financial institution, the Chief Compliance Officer (CCO) oversees all regulatory compliance and ethics functions for Five Star Bank and its ...

Five Star Bank

Chief Compliance Officer

Warsaw, NY · On-site

$160K - $210K/yr

As a key senior leader of a growing and innovative financial institution, the Chief Compliance Officer (CCO) oversees all regulatory compliance and ethics functions for Five Star Bank and its ...

OpenLoop Health, Inc

Chief Compliance Officer

As Chief Compliance Officer (CCO) , you will define and own our enterprise compliance strategy and operating model. You'll design and scale a risk-based program covering clinical, pharmacy, privacy ...

Socket.dev

Chief Compliance Officer (CCO)

Hoboken, NJ · On-site

$270 - $300/hr

... Chief Compliance Officer who can do more than manage a compliance function -- someone who can ... dealer, RIA, fintech, or crypto-asset business preferred. * Strong working knowledge of the US ...

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Oanda

Chief Compliance Officer

Chicago, IL · On-site +1

OANDA is looking for a Chief Compliance Officer (CCO) to lead our US compliance strategy and champion a robust culture of integrity. How do we work? As a registered Futures Commission Merchant (FCM ...

Five Star Bank

Chief Compliance Officer

Rochester, NY · On-site

$160K - $210K/yr

As a key senior leader of a growing and innovative financial institution, the Chief Compliance Officer (CCO) oversees all regulatory compliance and ethics functions for Five Star Bank and its ...

Zivahh

Chief Compliance Officer

Tukwila, WA · On-site

$150K - $220K/yr

Chief Compliance Officer Location:Tukwila, WA, 98188 What you will be doing: * Provide leadership and vision to the Compliance function of the firm. * Design, implement, and oversee the organization ...

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All JobsChief Compliance Officer Ria Jobs

Chief Compliance Officer Ria information

See salary details

$31.5K

$98.9K

$207.5K

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

As of Aug 6, 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 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?

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 as a chief compliance officer RIA?

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 August 2026, with employment types broken down into 100% Full Time. Highlights an 100% In-person job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Chief Compliance Officer

Oanda Corporation

New York, NY • On-site

Full-time

Re-posted 13 days ago

Job description

Fancy helping to shape the future of FinTech?
We have always been innovators. In 1996 we were the first company to share exchange rate information, free of charge on the internet. Today, we are a world leading online trading group.
Join us to:
  • Help build the future of online trading
  • Be part of a culture driven by integrity and global impact
  • Become part of an award-winning company - check out our full list of awards here

We are only as good as our people. Luckily, our people are the best. Join us!
Are you a bold, seasoned compliance leader looking to make a significant impact in the trading industry?
OANDA is looking for a Chief Compliance Officer (CCO) to lead our US compliance strategy and champion a robust culture of integrity.
How do we work?
As a registered Futures Commission Merchant (FCM) and Retail Foreign Exchange Dealer (RFED) with the CFTC and Forex Dealer Member (FDM) with the NFA, OANDA operates at the highest regulatory standards. In this critical role, you will report directly to the Global Head of Compliance (with a dotted line to the CEO) and serve as the ultimate anchor for our US regulatory, AML, and operational risk management.
This position can be based out of either our Chicago or New York locations.
Responsibilities:
  • Regulatory Liaison & Governance: Serve as the primary point of contact for the NFA and CFTC. You will lead audit readiness, manage regulatory examinations, and represent compliance as a member of the Risk Committee.
  • Strategic Oversight: Plan and execute a comprehensive Compliance and AML strategy that seamlessly aligns with OANDA's commercial goals.
  • Program Ownership: Design, develop, and own our end-to-end Compliance Monitoring Program, policy management, and compliance training initiatives.
  • Team Leadership: Manage, mentor, and develop a dedicated team of three direct compliance and AML professionals.
  • Business Advisory: Act as the subject matter expert, balancing risk and opportunity to provide pragmatic, business-focused guidance on new initiatives, client onboarding, and marketing reviews.

What we are looking for:
  • Experience: 10+ years of relevant regulatory and AML experience within a similar financial services environment, plus 6+ years in a leadership/management position.
  • Education: Bachelor's degree in Finance, Business, Law, or a related discipline.
  • Expertise: Deep, practical knowledge of NFA and CFTC rules, regulations, and interpretive notices.
  • Leadership Style: A "hands-on" leader with gravitas who can seamlessly navigate complex information, drive change management, and communicate effectively with stakeholders across the firm. Collaborative & Compliant: A fast-paced, execution-oriented culture where common-sense business solutions meet strict regulatory excellence.

At OANDA, to help us efficiently process applications, we use AI-driven tools to help source and rank candidates based on professional experience and skills. While these tools provide recommendations, our recruitment process remains human-centric: all final shortlisting and hiring decisions are made by OANDA team. You have the right to request a human review of your application.
OANDA Global Corporation is a diverse and global team with offices around the world. We value the unique skills and experiences each individual brings to OANDA. We are committed to creating and sustaining a collegial work environment in which all individuals are treated with dignity and respect and one which reflects the diversity of the community in which we operate. We provide an inclusive and accessible environment for everyone. Candidates selected for an interview will be contacted directly. If you require accommodation during the recruitment and selection process, please let us know. We will work with you to provide as seamless a recruitment experience as possible.
Learn more about our culture here.
Review OANDA Privacy Policy and learn more about how we treat your personal data and protect your privacy.

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