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Executive Ria Money Jobs (NOW HIRING)

Waystone

Director - Compliance Solutions

Chicago, IL · On-site

... Executive teams. ESSENTIAL DUTIES AND RESPONSIBILITIES * Maintain Code of Ethics programs for ... Complete and assist in registration projects for RIA, ERA, and BD clients * Prepare regulatory ...

Waystone

Director - Compliance Solutions

Manhattan, NY · On-site

... Executive teams. ESSENTIAL DUTIES AND RESPONSIBILITIES * Maintain Code of Ethics programs for ... Complete and assist in registration projects for RIA, ERA, and BD clients * Prepare regulatory ...

Waystone

Director - Compliance Solutions

Chicago, IL

... Executive teams. ESSENTIAL DUTIES AND RESPONSIBILITIES * Maintain Code of Ethics programs for ... Complete and assist in registration projects for RIA, ERA, and BD clients * Prepare regulatory ...

Simon Quick Advisors

Financial Advisor

Morristown, NJ · On-site

$200K - $250K/yr

... employee-owned RIA that offers holistic financial planning solutions for affluent families ... executives. We offer sophisticated strategies built around individual needs, preferences, risk ...

Simon Quick Advisors

Financial Advisor

Morristown, NJ · On-site

$200K - $250K/yr

... employee-owned RIA that offers holistic financial planning solutions for affluent families ... executives. We offer sophisticated strategies built around individual needs, preferences, risk ...

Axos Bank

AVP, Tax Manager

San Diego, CA

$124K - $130K/yr

Preparing executive-level tax summaries and presentations for senior accounting and finance ... Utilizing tax research tools including CCH, RIA Checkpoint, Bloomberg and any other tax software to ...

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All JobsExecutive Ria Money Jobs

Executive Ria Money information

See salary details

$26.5K

$93.6K

$184K

How much do executive ria money jobs pay per year?

As of Jun 30, 2026, the average yearly pay for executive ria money in the United States is $93,552.00, according to ZipRecruiter salary data. Most workers in this role earn between $58,000.00 and $120,500.00 per year, depending on experience, location, and employer.

What is the difference between Executive Ria Money vs Ria Money Transfer Agent?

AspectExecutive Ria MoneyRia Money Transfer Agent
CredentialsTypically requires managerial experience and knowledge of financial regulationsRequires basic sales and customer service skills, often with certification in money transfer procedures
Work EnvironmentOffice settings, corporate environments, or supervisory rolesRetail locations, agent offices, or storefronts
Employer & Industry UsageFinancial services companies, corporate officesIndependent agents, retail outlets, franchise locations
Common Search & ComparisonHigher-level management, supervisory rolesFrontline agent roles, customer service positions

Executive Ria Money typically refers to managerial or supervisory roles within Ria Money Transfer, focusing on overseeing operations and compliance. In contrast, Ria Money Transfer Agents are frontline employees or independent agents responsible for customer transactions. While both roles are integral to the company's operations, they differ mainly in responsibilities, credentials, and work environment.

More about Executive Ria Money jobs
What cities are hiring for Executive Ria Money jobs? Cities with the most Executive Ria Money job openings:
What are the most commonly searched types of Ria Money jobs? The most popular types of Ria Money jobs are:
What states have the most Executive Ria Money jobs? States with the most job openings for Executive Ria Money jobs include:
What job categories do people searching Executive Ria Money jobs look for? The top searched job categories for Executive Ria Money jobs are:
Executive Ria Money jobs near you
Infographic showing various Executive Ria Money job openings in the United States as of June 2026, with employment types broken down into 100% Full Time. Highlights an 100% In-person job distribution, with an average salary of $93,552 per year, or $45 per hour.

AML & Compliance Testing, Senior Associate

Hightower

Chicago, IL • On-site

$90K - $100K/yr

Full-time

Medical, Dental, Vision, Retirement, PTO

Posted 1 hour ago

Key responsibilities

  • Serve as the firm's designated AML Compliance Officer and administer the AML Program including policies, procedures, and internal controls.

  • Oversee and conduct compliance testing of controls for broker-dealer and investment adviser requirements, including supervision, disclosures, and recordkeeping.

  • Investigate potential suspicious activity, prepare and file Suspicious Activity Reports, and manage AML-related regulatory requests and inquiries.

Job description

Our Story
Founded in 2008, Hightower is a wealth management firm that provides investment, financial and retirement planning services to individuals, foundations and family offices, as well as 401(k) consulting and cash management services to corporations. Hightower's capital solutions, operational support services, size and scale empower its vibrant community of independent-minded wealth advisors to grow their businesses and help their clients achieve their financial vision. Based in Chicago with advisors across the U.S., we operate as a registered investment advisor (RIA).
Your Future Team
Hightower's Compliance Department strives to provide industry-leading support to the firm's advisor teams. We are passionate about serving as collaborators within all facets of the organization and focus on developing processes and strategies that are effective for advisors, their clients, and other mid and back-office departments, while adhering to the spirit of the regulation. This position is located in Chicago, IL and is hybrid with 4 days in the office.
What You'll Do
The Senior Associate, AML & Compliance Testing is a dual-hat role with primary responsibility for administering the firm's Anti-Money Laundering (AML) program under the Bank Secrecy Act (BSA) for its FINRA regulated broker-dealer (BD) operations and SEC-registered investment adviser (IA) as well as supporting risk-based compliance testing across our IA operations. The role requires a strong understanding of the differing regulatory obligations applicable to broker-dealers and registered investment advisers, including AML applicability, fiduciary obligations, disclosure requirements, and supervisory controls. This position reports to the Executive Director, Compliance.
AML Program
  • Serve as the firm's designated AML Compliance Officer pursuant to FINRA Rule 3310.
  • Own, maintain, and enhance AML Program, including policies, procedures, and internal controls.
  • Oversee Customer Identification Program (CIP), Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD).
  • Ensure all OFAC checks are accomplished and documented.
  • Review transaction monitoring alerts, exception reports, and surveillance outputs related to broker-dealer activity.
  • Investigate potential suspicious activity and prepare, review, and file Suspicious Activity Reports (SARs) with FinCEN.
  • Manage AML-related regulatory requests, law enforcement inquiries, and information-sharing obligations, including Sections 314(a) and 314(b).
  • Ensure that annual AML training is delivered to registered representatives and applicable staff.
  • Oversee AML service providers, surveillance tools, and clearing firm relationships.

Compliance Testing Program
  • Perform independent testing of compliance controls for BD and IA requirements, including supervision, fiduciary duty, disclosures, conflicts of interest, communications, and recordkeeping.
  • Conduct walkthroughs, sample testing, and root-cause analysis to assess control design and operating effectiveness.
  • Prepare clear, regulator-ready testing reports with findings, risk ratings, and corrective action recommendations.
  • Track remediation efforts, validate closures, and maintain testing documentation for regulatory review.

What You'll Bring
  • Bachelor's degree or equivalent professional experience.
  • 3-7+ years of experience in compliance, supervision, or a related function within a broker-dealer or RIA, with specific BSA/AML experience required.
  • Strong working knowledge of FINRA Rules 3310, 3110, and 3120; BSA/AML regulations, and SEC Advisers Act requirements.
  • Strong analytical, investigative, and problem-solving skills.
  • Excellent written and verbal communication skills for regulatory and executive audiences.
  • Ability to assess and articulate regulatory distinctions between BD and IA requirements.
  • Independent judgment with a collaborative, risk-based approach.
  • Strong organizational and project management capabilities.
  • Support the compliance function by completing additional projects and responsibilities as assigned.

What We Offer
  • Coverage on the first day of employment for medical, dental, and vision insurance
  • Paid parental leave (16 weeks for primary caregiver and 8 weeks for secondary caregiver)
  • Mother's lounge onsite
  • Flexible PTO plan
  • Free gym in the Chicago office
  • 401k matching plan
  • HSA employer contributions
  • Student loan assistance
  • Pet insurance
  • Base salary of $90,000-$100,000 plus discretionary bonus (exact base salary amount will be dependent on experience)

AN EQUAL OPPORTUNITY EMPLOYER:Hightower is an equal opportunity employer and does not discriminate based upon race, color, religion, sex, sexual orientation, pregnancy, marital status, national origin, citizenship, veteran status, ancestry, age (over 40), physical or mental disability, medical condition (cancer-related), gender identity or expression, genetic information including sickle cell or hemoglobin C trait, or any other consideration made unlawful by applicable federal, state, or local law.
You are a U.S. citizen, U.S. permanent resident or possess other unrestricted U.S. work authorization and will not require sponsorship for U.S. work authorization now or anytime in the future.

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