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Chief Compliance Officer Ria Jobs (NOW HIRING)

City of New York

Compliance Officer

Manhattan, NY · On-site

Reporting directly to the Chief Compliance Officer and working with the compliance staff, the Compliance Officer's responsibilities include, but are not limited to: - Working with BAM Investment ...

City of New York

Compliance Officer

Manhattan, NY

Reporting directly to the Chief Compliance Officer and working with the compliance staff, the Compliance Officer's responsibilities include, but are not limited to: - Working with BAM Investment ...

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 ...

City of New York

Compliance Officer

Manhattan, NY

Reporting directly to the Chief Compliance Officer and working with the compliance staff, the Compliance Officer's responsibilities include, but are not limited to: - Working with BAM Investment ...

AeroVironment

Chief Compliance Officer

Simi Valley, CA · On-site

Worker Type Regular Summary The VP and Chief Compliance Officer ("CCO") will lead and own AV's overall compliance program, including the company's ethics program and oversight of all compliance ...

Credit Genie

Chief Compliance Officer

New York, NY · On-site

$250K - $300K/yr

Overview The Chief Compliance Officer (CCO) is responsible for designing, implementing, and leading a compliance program that enables innovation while ensuring regulatory and legal adherence. The CCO ...

TexasBank

Chief Compliance Officer

Fort Worth, TX · On-site

The Chief Compliance Officer will serve as the primary advisor to the bank, providing strategic direction on regulatory and compliance matters. This role will be responsible for establishing and ...

Wheel

Chief Compliance Officer (Fractional)

Chief Compliance Officer (Fractional) Location: Remote About the Company Wheel is evolving the traditional care ecosystem by equipping the nation's most innovative companies with a premier platform ...

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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 Jun 10, 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

Gulf Copper & Mfg. Corp. and Sabine Surveyors Ltd.

Galveston, TX • On-site

Full-time

Medical, Dental, Life, Retirement, PTO

Posted 19 days ago

Job description

Chief Compliance Officer
Benefits:
  • 401 (k)
  • Group Health & Dental Plan
  • Short-& Long-Term Disability Insurance
  • Life & Voluntary Life Insurance
  • Holiday & Vacation Pay
  • Employee Assistance Program

Overview and Purpose
Ensures the company follows laws, regulations, and internal policies by developing compliance programs, identifying risks, training staff, and overseeing audits, acting as a vital leader to prevent misconduct, protect the firm's reputation, and promote ethical operations. Manage compliance frameworks, conduct risk assessments, implement controls, and investigate violations to ensure adherence to standards like anti-corruption, anti-money laundering, and industry-specific rules (e.g., , HIPAA).
Key Responsibilities
  • Policy & Program Development: Create and maintain comprehensive compliance policies, procedures, and codes of conduct.
  • Risk Management: Identify, assess, and mitigate compliance-related risks, especially in evolving regulatory environments.
  • Monitoring & Auditing: Implement systems for ongoing monitoring, conduct internal audits, and test controls to ensure adherence.
  • Training & Education: Design and deliver training programs to educate employees on compliance expectations.
  • Investigation & Remediation: Lead investigations into potential misconduct and implement corrective actions.
  • Reporting: Report on compliance status to senior management, boards, and regulators.
  • Regulatory Liaison: Stay updated on new laws and regulations and advise on their impact.

Education
  • Bachelor's Degree (Required): Common majors include Business Administration, Finance, Accounting, Legal Studies, Economics, or relevant industry fields.
  • Advanced Degrees (Enhance Career): A Juris Doctor (JD) or Master of Business Administration (MBA) significantly strengthens qualifications for leadership roles, a plus.

Experience
  • Progressive Experience: Several years (typically 3-10+) of hands-on compliance or related work (e.g., audit, risk) is essential, progressing from analyst to management.
  • Leadership: Demonstrated ability to lead teams, develop programs, manage risk, and implement controls.
  • Industry Knowledge: Deep understanding of maritime industry, commercial and government contracting.

Key Skills & Responsibilities
  • Regulatory Expertise: Staying current on local, state, and federal laws.
  • Policy & Training: Developing, implementing, and training on codes of conduct and policies.
  • Risk Management: Designing systems and controls to manage risks.
  • Leadership: Liaising with executives, fostering ethical culture, managing compliance infrastructure.

Valuable Certifications Certified Compliance & Ethics Professional (CCEP)Certified Regulatory Compliance Manager (CRCM)Certified Information Systems Auditor (CISA) or risk related certs.
An Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability. Equal Employment Opportunity Posters. If you'd like to view a copy of the company's affirmative action plan or policy statement, please email: [email protected]. If you have a disability and you believe you need a reasonable accommodation in order to search for a job opening or to submit an online application, please e-mail: [email protected].

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