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New York, NY · Remote
$80K - $85K/yr
RIA Compliance Location: 100% Remote Duration: Full Time Location: This is a fully remote ... to-day compliance questions and long-term strategic regulatory matters Leverage AI-enabled ...
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Be Seen First
New York, NY · Remote
$80K - $85K/yr
RIA Compliance Location: 100% Remote Duration: Full Time Location: This is a fully remote ... to-day compliance questions and long-term strategic regulatory matters Leverage AI-enabled ...
New
Doral, FL · On-site
The ideal candidate will have substantial RIA compliance experience and will act as a key partner ... Serve as a day-to-day compliance resource for the business, investment, and sales teams. Provide ...
Doral, FL · On-site
The ideal candidate will have substantial RIA compliance experience and will act as a key partner ... Serve as a day-to-day compliance resource for the business, investment, and sales teams. Provide ...
Petersburg, VA · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
Petersburg, VA · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
Oakdale, MN · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
New
Oakdale, MN · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
New
Our team manages the day-to-day operations of RIA compliance programs-including maintaining essential records, filings, testing, and documentation-while also supporting the creation and ongoing ...
Our team manages the day-to-day operations of RIA compliance programs-including maintaining essential records, filings, testing, and documentation-while also supporting the creation and ongoing ...
Saint Petersburg, FL · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
Saint Petersburg, FL · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
Scottsdale, AZ · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
Scottsdale, AZ · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
Scottsdale, AZ · On-site
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
Scottsdale, AZ · On-site
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
Atlanta, GA · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
Atlanta, GA · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
La Vista, NE · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
La Vista, NE · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
Oakdale, MN · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
Oakdale, MN · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
Atlanta, GA · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
Atlanta, GA · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
La Vista, NE · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
La Vista, NE · Hybrid
$150K - $190K/yr
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... The VP will report to Osaic's SVP of RIA Compliance with a dual reporting line to the Head of Osaic ...
... RIA Compliance. The candidate will work with the Director of Compliance and the immediate Compliance Team on a day-to-day basis, to support compliance functions primarily relating to CAPTRUST ...
... RIA Compliance. The candidate will work with the Director of Compliance and the immediate Compliance Team on a day-to-day basis, to support compliance functions primarily relating to CAPTRUST ...
Raleigh, NC · On-site
... RIA Compliance. The candidate will work with the Director of Compliance and the immediate Compliance Team on a day-to-day basis, to support compliance functions primarily relating to CAPTRUST ...
Raleigh, NC · On-site
... RIA Compliance. The candidate will work with the Director of Compliance and the immediate Compliance Team on a day-to-day basis, to support compliance functions primarily relating to CAPTRUST ...
Charlotte, NC · On-site
English (Required) Work Shift: 1st shift (United States of America) Please review the following The ... RIA expertise and coordination: Provide compliance leadership for advisory activities within an SEC ...
Charlotte, NC · On-site
English (Required) Work Shift: 1st shift (United States of America) Please review the following The ... RIA expertise and coordination: Provide compliance leadership for advisory activities within an SEC ...
Charlotte, NC · On-site
English (Required) Work Shift: 1st shift (United States of America) Please review the following The ... Provide compliance leadership for advisory activities within an SEC-registered RIA framework ...
Charlotte, NC · On-site
English (Required) Work Shift: 1st shift (United States of America) Please review the following The ... Provide compliance leadership for advisory activities within an SEC-registered RIA framework ...
New York, NY · On-site
English (Required) Work Shift: 1st shift (United States of America) Please review the following The ... RIA expertise and coordination: Provide compliance leadership for advisory activities within an SEC ...
New York, NY · On-site
English (Required) Work Shift: 1st shift (United States of America) Please review the following The ... RIA expertise and coordination: Provide compliance leadership for advisory activities within an SEC ...
Atlanta, GA · On-site
English (Required) Work Shift: 1st shift (United States of America) Please review the following The ... RIA expertise and coordination: Provide compliance leadership for advisory activities within an SEC ...
Atlanta, GA · On-site
English (Required) Work Shift: 1st shift (United States of America) Please review the following The ... RIA expertise and coordination: Provide compliance leadership for advisory activities within an SEC ...
English (Required) Work Shift: 1st shift (United States of America) Please review the following The ... RIA expertise and coordination: Provide compliance leadership for advisory activities within an SEC ...
English (Required) Work Shift: 1st shift (United States of America) Please review the following The ... RIA expertise and coordination: Provide compliance leadership for advisory activities within an SEC ...
$31.5K - $47.5K
10% of jobs
$60.4K is the 25th percentile. Wages below this are outliers.
$47.5K - $63.5K
19% of jobs
$63.5K - $79.5K
19% of jobs
The median wage is $81.5K / yr.
$79.5K - $95.5K
17% of jobs
$106.4K is the 75th percentile. Wages above this are outliers.
$95.5K - $111.5K
15% of jobs
$111.5K - $127.5K
6% of jobs
$127.5K - $143.5K
5% of jobs
$143.5K - $159.5K
3% of jobs
$159.5K - $175.5K
2% of jobs
$175.5K - $191.5K
2% of jobs
$191.5K - $207.5K
1% of jobs
$31.5K
$98.9K
$207.5K
$80K - $85K/yr
Full-time
Medical, Dental, Vision, Retirement, PTO
This job post has expired today. Applications are no longer accepted.
Title: RIA Compliance
Location: 100% Remote
Duration: Full Time
Location: This is a fully remote opportunity — work from anywhere in the U.S. that suits your life. The team operates on Eastern Time (9:00 AM to 5:00 PM ET), and exceptional candidates based on the West Coast (Pacific Time) are encouraged to apply.
Note: This role requires direct, hands-on RIA compliance experience — specifically, having served as or directly supported a Chief Compliance Officer at a Registered Investment Adviser. Candidates without this background will not be considered.
Job Description
Own and manage full compliance programs for a portfolio of RIA clients as their outsourced Chief Compliance Officer
Lead client engagements from strategy through execution, serving as the primary compliance advisor and trusted point of contact for executives and boards
Mentor and coach junior consultants, reviewing their work and actively supporting their professional development
Represent the firm in high-stakes meetings with C-suite leaders, boards, and regulators
Design and continuously enhance tailored compliance programs aligned to SEC and state regulatory requirements
Draft, update, and maintain compliance policies, procedures, manuals, and training materials that are clear, practical, and audit-ready
Conduct compliance risk assessments, mock examinations, and annual reviews — including SEC Rule 206(4)-7 reviews
Monitor SEC, FINRA, and state regulatory developments and proactively communicate their impact to clients
Prepare and oversee regulatory filings including Forms ADV, U4, and other required documentation
Guide clients through regulatory examinations and any remediation efforts
Advise on both day-to-day compliance questions and long-term strategic regulatory matters
Leverage AI-enabled consulting workflows to deliver scalable, tech-forward compliance solutions
Qualifications Required:
3+ years of compliance experience in financial services with direct RIA compliance experience
Experience serving as or directly supporting a Chief Compliance Officer at a Registered Investment Adviser
Strong command of the Investment Advisers Act of 1940, Form ADV, the Marketing Rule, and Code of Ethics requirements
Proven track record designing and managing compliance programs end to end
Skilled at drafting compliance policies, procedures, and manuals
Experience leading client relationships and managing complex engagements
Ability to mentor and develop junior team members
Familiarity with fintech business models and the regulatory landscape for emerging financial services
Exceptional communication and presentation skills, including presenting to executives and regulators
Bachelor's degree in Law, Finance, Business, or a related field; JD or relevant certifications a plus
Self-starter who thrives independently in a fast-paced, fully remote consulting environment
Nice to Have:
FINRA Series 7 and Series 24 licenses
Broker-dealer compliance experience including FINRA rules, supervision, and suitability
Background in fintech subsectors such as digital assets, payment processing, lending, or neobanking
Familiarity with compliance technology platforms for KYC/KYB and transaction monitoring
Prior consulting or professional services experience
