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Full Time Chief Compliance Officer Ria Jobs (NOW HIRING)

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 ...

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Full Time Chief Compliance Officer Ria information

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$31.5K

$98.9K

$207.5K

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

As of Aug 7, 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 RIA?

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 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 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

Tyree and D'Angelo Partners

Dallas, TX • On-site

Full-time

Re-posted 4 days ago

Job description

Position Title: Chief Compliance Officer
Reporting To: CEO
Location: Dallas, Texas (in-person strongly preferred)
Company: TDP Confidential Portfolio Company
Private Equity Firm Overview
Tyree & D'Angelo Partners ("TDP") is a private equity investment firm with offices in Chicago and Dallas that makes control ownership investments in, and partners with, lower middle market businesses with the goal of creating meaningful value for all involved. TDP is currently investing out of its third fund and has managed and created over $3 billion of capital and company enterprise value. TDP has significant experience investing in financial, business, and consumer service businesses and has completed over 2,000 investment partnerships. Please visit www.TDPfund.com for more information.
Confidential Portfolio Company Overview
TDP has invested in a confidential portfolio company in the wealth management industry. The Company is a rapidly growing Registered Investment Advisor ("RIA"), focused primarily on delivering fee-based comprehensive wealth management services to high net worth and mass affluent customers. The Company is based in Dallas and forms long-term partnerships with leading independent RIAs and advisory teams across the US.
The Company's mission is to improve the lives of its advisors by helping them achieve their personal, professional, and financial goals. It does so by creating customized plans to deliver tailored support and resources that ultimately result in the industry-leading advisor satisfaction, customer service, and organic growth. Areas of support include compliance, recruiting, HR, accounting, finance, advisor growth, advisor ownership, and M&A resources.
Advisors are aligned through long-term economic incentives that deliver the most value over time with the lowest risk. The Company's leadership team purposefully seeks highly experienced executives with a proven track record of growing advisors, customers, and cash flows.
Position Overview
We are currently seeking a hands-on Chief Compliance Officer to join our Confidential Portfolio Company. This leader will oversee the firm's regulatory compliance program, ensure compliance accuracy, regulatory adherence, and operational scalability across the Company, which is rapidly growing. The ideal candidate brings deep experience in RIA compliance, combined with the strategic mindset to support a multi-entity growth strategy.
Job Responsibilities
Build a best-in-class compliance infrastructure (including scalable teams, processes, and systems) for a fast-growing, multi-practice RIA with industry-leading organic and M&A growth.
Foundational & Regulatory
  • Serve as primary SEC liaison, managing all examinations, inquiries, and regulatory correspondence.
  • Own the Form ADV process across all RIA entities and acquired practices.
  • Monitor evolving SEC rules (Marketing Rule, Reg BI, custody) and translate them into firm policy rapidly.
  • Maintain the firm's fiduciary framework across every practice and service line.
  • Design and maintain a centralized, scalable WSP framework with a governance calendar tied to regulatory changes and M&A activity.

Scalable Infrastructure & M&A Integration
  • Lead selection and optimization of the compliance tech stack covering personal trading, surveillance, archiving, and reporting.
  • Build automated surveillance and exception reporting workflows that scale with firm growth.
  • Develop a repeatable M&A compliance due diligence playbook and post-close integration framework.
  • Recruit and develop a tiered compliance team with a staffing model that balances centralized oversight with practice-level support.
  • Build a compliance culture that positions the function as a business enabler.

Risk Management & Ongoing Oversight
  • Conduct annual firm-wide risk assessments by practice, service line, and regulatory exposure.
  • Oversee portfolio surveillance for suitability, fee billing accuracy, and best execution across custodians.
  • Manage conflicts of interest disclosures and mitigation across compensation structures and affiliated relationships.
  • Maintain a vendor due diligence program covering all material third-party relationships.

Reporting, Culture & Strategic Partnership
  • Deliver regular compliance reporting to firm leadership including risk dashboards, exam updates, and incident logs.
  • Design and deliver role-based annual compliance training with attestation across all practices.
  • Partner with M&A, finance, HR, and technology to embed compliance early in all growth initiatives.
  • Position the firm's compliance infrastructure as a competitive advantage in advisor recruiting and acquisitions.

Qualifications
  • 10+ years of compliance experience, with meaningful time at an SEC-registered RIA or in an RIA-focused regulatory/consulting role
    • Experience interfacing directly with the SEC, whether through routine examinations, deficiency responses, or ongoing regulatory dialogue.
    • Strong working knowledge of Form ADV preparation, including multi-entity filings and material change amendments triggered by acquisitions.
  • Demonstrated experience building or significantly scaling a compliance function within a fast-growing and/or multi-practice RIA environment, including hands-on experience with M&A compliance integration, including due diligence and post-close onboarding of acquired practices.
  • Proficiency with compliance technology platforms and a track record of leading systems implementations.
  • Excellent leadership and a builder mentality - comfortable with ambiguity, able to create structure where little exists previously, and energized by a fast-moving environment.
  • JD, MBA, or equivalent advanced degree preferred but not required.
  • IACCP designation strongly preferred.
  • Series 65 or equivalent required

Compensation
Highly competitive compensation consisting of base salary, an annual performance bonus, and equity ownership.

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