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Full Time Chief Compliance Officer Ria Jobs (NOW HIRING)

PeopleFluent

Chief Compliance Officer

Boston, MA · On-site

The ideal candidate will have extensive knowledge of today's compliance environment for RIA's and ... Investment Management Employment Type Full-time Job Functions * Finance How you match

REQ Solutions

Chief Compliance Officer

Manhattan, NY · Hybrid

$280K - $330K/yr

Chief Compliance Officer Location: New York City | Hybrid role - 2-3 day onsite Direct Reports ... Chief BSA Officer, Chief AML Officer, Chief of Staff and all supporting staff Full-time Salary ...

Procyon

Chief Compliance Officer

Shelton, CT

Chief Compliance Officer (CCO)/ General Counsel (GC)HYBRID ROLE Procyon is a vibrant and growing wealth management platform comprised of a Registered Investment Advisor (RIA), Benefits, Tax and Risk ...

Remote People

Chief Compliance Officer (CCO) -- Confidential Search Remote / Global · Senior Leadership · Full-Time A fast-growing, globally operating company is conducting a confidential search for a Chief ...

Day Spring

Chief Compliance Officer

Louisville, KY

The Chief Compliance Officer supervises the Billing & Occupancy Manager, Medication Coordinator, Health Data Coordinator, and IR & Medical Records Coordinator. The Chief Compliance Officer ...

Eagle Bancorp, Inc.

Chief Compliance Officer

Bethesda, MD · Hybrid

$176K - $303K/yr

The Chief Compliance Officer also serves as the Bank's Privacy Officer, CRA Compliance Officer, Reg O Officer and is a key member of the Ethics Office. The Chief Compliance Officer partners closely ...

EagleBank

Chief Compliance Officer

Bethesda, MD · On-site

$176K - $303K/yr

The Chief Compliance Officer also serves as the Bank's Privacy Officer, CRA Compliance Officer, Reg O Officer and is a key member of the Ethics Office. The Chief Compliance Officer partners closely ...

TH Daniels

Chief Compliance Officer

California, MO

$200K - $250K/yr

Chief Compliance Officer - Autism & IDD Location: California TH Daniels Global Executive Search ... Seniority level * Executive Employment type * Full-time Job function * Project Management ...

Blue Ridge Wealth

RIA Compliance Officer

Knoxville, TN · On-site

$80K - $100K/yr

... Chief Compliance Officer, but our intention is to hire someone who will be ready to graduate into ... Preferred: 2-5 years of experience in compliance, legal, or regulatory roles within an RIA, broker ...

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All JobsFull Time Chief Compliance Officer Ria Jobs

Full Time Chief Compliance Officer Ria information

See salary details

$31.5K

$98.9K

$207.5K

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

As of Jun 17, 2026, the average yearly pay for full time 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 the key skills and qualifications needed to thrive as a Full Time Chief Compliance Officer at Ria, and why are they important?

To thrive as a Full Time Chief Compliance Officer at Ria, you need deep knowledge of regulatory frameworks (such as AML, KYC, and GDPR), risk management, and a relevant degree in law, business, or finance. Familiarity with compliance management systems, regulatory reporting tools, and certifications like CAMS or CRCM are typically required. Excellent leadership, ethical judgment, and strong communication skills help in managing teams and building a culture of compliance. These skills ensure the organization meets legal obligations, avoids penalties, and maintains trust with regulators and customers.

What are some common challenges a Chief Compliance Officer at Ria might face in maintaining regulatory compliance across multiple jurisdictions?

As a Chief Compliance Officer at Ria, you'll often navigate the complexities of differing regulatory requirements across various countries and regions. This includes staying updated with evolving anti-money laundering (AML) laws, data privacy regulations, and financial reporting standards. Balancing local compliance needs with global company policies can be challenging, especially when operating in rapidly changing regulatory environments. Proactive communication with regulators, ongoing staff training, and developing robust compliance frameworks are key strategies to address these challenges and minimize risk.

What is the difference between Full Time Chief Compliance Officer Ria vs Compliance Manager?

AspectFull Time Chief Compliance Officer RiaCompliance Manager
CredentialsAdvanced certifications (e.g., CRC, CCEP), extensive experienceRelevant certifications (e.g., CAMS, CRC), mid-level experience
Work EnvironmentExecutive-level, strategic planning, company-wide oversightOperational focus, department management, day-to-day compliance tasks
Employer & Industry UsageFinancial services, fintech, large corporationsFinancial institutions, healthcare, smaller firms

The Full Time Chief Compliance Officer Ria holds a senior executive role responsible for overall compliance strategy, while a Compliance Manager focuses on implementing policies within specific departments. Both roles require compliance certifications, but the CCO Ria's position involves broader strategic oversight and decision-making at the organizational level.

What are the responsibilities of a Full Time Chief Compliance Officer at Ria?

A Full Time Chief Compliance Officer (CCO) at Ria is responsible for ensuring the company complies with all legal and regulatory requirements relevant to its financial services. This includes developing, implementing, and maintaining compliance programs, policies, and procedures, as well as overseeing employee training on compliance matters. The CCO also monitors for potential risks, coordinates with regulatory bodies, and ensures that Ria's operations adhere to anti-money laundering (AML) and know-your-customer (KYC) standards. Their work is essential in protecting the company from legal issues and maintaining trust with customers and regulators.
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Full Time Chief Compliance Officer Ria jobs near you
Chief Compliance Officer

Chief Compliance Officer

Caldwell Sutter Capital, Inc.

Sausalito, CA

$175K - $325K/yr

Full-time

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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