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Executive Chief Compliance Officer Ria Jobs (NOW HIRING)

Storm2

Chief Compliance Officer

Dallas, TX · On-site

... on executive who can support growth while maintaining a strong supervisory framework and high standards of regulatory integrity. About the role: As Chief Compliance Officer , you will lead and ...

Lennar USA

Chief Compliance Officer

Tallahassee, FL · On-site

$190 - $230/hr

Chief Compliance Officer We are Lennar Lennar is one of the nation's leading homebuilders ... The CCO serves as a strategic business partner to executive leadership by leveraging regulatory ...

Lennar

Chief Compliance Officer

Tallahassee, FL · On-site +1

Chief Compliance Officer We are Lennar Lennar is one of the nation's leading homebuilders ... The CCO serves as a strategic business partner to executive leadership by leveraging regulatory ...

Socket.dev

Chief Compliance Officer

Tallahassee, FL · On-site

$180 - $240/hr

Chief Compliance Officer We are Lennar Lennar is one of the nation's leading homebuilders ... The CCO serves as a strategic business partner to executive leadership by leveraging regulatory ...

Lennar

Chief Compliance Officer

Tallahassee, FL · On-site

Chief Compliance Officer We are Lennar Lennar is one of the nation's leading homebuilders ... The CCO serves as a strategic business partner to executive leadership by leveraging regulatory ...

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

As of Aug 27, 2026, the average yearly pay for executive 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 is the difference between Executive Chief Compliance Officer Ria vs Chief Compliance Officer?

AspectExecutive Chief Compliance Officer RiaChief Compliance Officer
CredentialsTypically requires advanced degrees (JD, MBA) and certifications like CRC or CCEPSimilar credentials, often with compliance certifications
Work EnvironmentExecutive-level, strategic planning in large organizationsOperational compliance management across departments
Employer & Industry UsageUsed in financial, healthcare, and corporate sectorsCommon in regulated industries like banking, healthcare, and finance

The Executive Chief Compliance Officer Ria holds a senior strategic role focusing on compliance governance at the executive level, while the Chief Compliance Officer typically manages day-to-day compliance operations. Both roles require similar credentials and are prevalent in regulated industries, but the Executive Chief Compliance Officer Ria is more involved in high-level policy development and organizational oversight.

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Executive Chief Compliance Officer Ria jobs near you

Chief Compliance Officer (Sausalito)

Caldwell Sutter Capital, Inc.

Sausalito, CA • On-site

$175K - $325K/yr

Full-time

Re-posted 25 days ago

Job description

Overview

Compensation: $175,000 – $325,000+ total compensation, depending on experience, licensing, and scope of responsibility

Chief Compliance Officer
Caldwell Sutter Capital

Location: Sausalito, CA (Preferred) | Hybrid / Remote Considered

Compensation: $175,000 – $325,000+ total compensation, depending on experience, licensing, and scope of responsibility

About Caldwell Sutter Capital

Caldwell Sutter Capital is a growing, dually registered financial services firm operating as both a FINRA regulated broker-dealer and an SEC registered investment advisor. As part of our continued growth, we are separating the Chief Compliance Officer and Chief Financial Officer roles and are seeking an experienced Chief Compliance Officer to lead our compliance function.

The firm maintains an established compliance program supported by executive leadership and external resources. We are seeking a CCO who will retain full accountability for the program while ensuring it continues to scale effectively with the firm.

Position Overview

The Chief Compliance Officer will oversee compliance for both the broker-dealer and the RIA, ensuring ongoing adherence to SEC, FINRA, and applicable state regulations. While certain compliance activities are supported by external service providers, this role maintains overall responsibility for oversight, review, and completion of all compliance obligations.

This position is well suited for a seasoned compliance professional who is comfortable balancing hands-on execution with strategic leadership and continuous improvement.

Key Responsibilities
  • Serve as Chief Compliance Officer for both the broker-dealer and registered investment advisor
  • Maintain overall responsibility for the firm’s SEC and FINRA compliance programs
  • Ensure all compliance-related tasks and regulatory obligations are completed accurately and on time, including those supported by external resources
  • Oversee compliance policies, procedures, and internal controls, and recommend enhancements as appropriate
  • Act as primary liaison with FINRA, SEC, and state regulators
  • Lead and manage regulatory examinations, audits, and inquiries
  • Oversee regulatory filings, disclosures, and reporting obligations
  • Monitor regulatory developments and advise executive leadership on implications for the firm
  • Provide compliance guidance in support of business initiatives and growth
  • Deliver firm-wide compliance training and education
  • Oversee licensing, registrations, and continuing education requirements
  • Coordinate with external advisors and service providers as needed
Qualifications & Experience
  • 5–15+ years of compliance experience within a broker-dealer and/or RIA
  • Prior experience as a Chief Compliance Officer or senior compliance leader strongly preferred
  • Strong working knowledge of SEC and FINRA regulatory frameworks
  • Required FINRA licenses (or ability to obtain promptly):
  • Series 7 – required
  • Series 24 – required
  • Series 66 or 65 preferred
  • Demonstrated experience managing regulatory examinations
  • Strong organizational skills, attention to detail, and regulatory judgment
  • Ability to work effectively with executive leadership and external partners
  • Practical, risk-based approach to compliance
Compensation & Benefits
  • Base Salary Range: $160,000 – $300,000+
  • Total Compensation Potential: $175,000 – $325,000+, including:
  • Annual bonus and/or discretionary performance incentives
  • Potential long-term incentives or profit participation for senior candidates
  • Comprehensive benefits package
  • Support for continuing education and licensing
  • Flexible work arrangements for the right candidate
Location & Work Style
  • Sausalito, CA (in-person preferred)
  • Hybrid or remote arrangements may be considered for highly qualified candidates with relevant dual-registration experience
Why Join Caldwell Sutter Capital
  • Established compliance infrastructure with executive support
  • Clear accountability and authority for the CCO role
  • Balance of strategic leadership and practical execution
  • Competitive, flexible compensation aligned with experience
  • Professional, collaborative culture focused on integrity and growth
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