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Full Time Ria Compliance Jobs (NOW HIRING)

Ria Health

Licensed Psychologist- (PSYPACT) Remote

ROLE OVERVIEW Ria Health is seeking a full-time Licensed Psychologist with PSYPACT authority (or ... Ensure compliance with clinical, regulatory, and company standards ADDITIONAL RESPONSIBILITIES

Aldrich

Compliance Specialist

Lake Oswego, OR · On-site

As an RIA that provides a broad array of financial services to high net worth individuals and ... This is a full-time hybrid position in our Lake Oswego, Oregon office. Candidates must be legally ...

Aldrich

Compliance Specialist

Lake Oswego, OR · On-site

$95K - $120K/yr

Job Type Full-time Description We are seeking a detailed oriented and analytical professional to ... As an RIA that provides a broad array of financial services to high net worth individuals and ...

Diversify

Junior Compliance Officer

Sandy, UT · On-site

The role is split roughly evenly between RIA-side and BD-side compliance work, with general operational support to the CCO and senior compliance staff as needed. This is a full-time, in-office ...

Diversify

Junior Compliance Officer

South Jordan, UT · On-site

$75K - $80K/yr

The role is split roughly evenly between RIA-side and BD-side compliance work, with general operational support to the CCO and senior compliance staff as needed. This is a full-time, in-office ...

Valmark Financial Group

Compliance Specialist

Akron, OH · On-site

$55K - $65K/yr

Participate in the review and updates to BD and RIA Written Supervisory Manuals. * Participate in ... full-time status. * In office for the first year, with hybrid work from home up to 2 days per week ...

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Full Time Ria Compliance information

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$31.5K

$98.9K

$207.5K

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

As of Aug 14, 2026, the average yearly pay for full time ria compliance 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 RIA compliance professional?

To thrive as a Full Time RIA Compliance professional, you need a solid understanding of securities regulations, risk management, and compliance frameworks, often supported by a degree in finance, law, or related fields. Familiarity with compliance management software, SEC/FINRA filing systems, and certifications such as the Investment Adviser Certified Compliance Professional (IACCP) are highly beneficial. Strong attention to detail, analytical thinking, and clear communication skills help ensure regulatory adherence and effective collaboration across teams. Mastering these skills is crucial to minimize legal risks, maintain firm integrity, and safeguard client interests in a complex regulatory environment.

What is a full time RIA compliance professional?

Full Time RIA Compliance professionals are employees who ensure that Registered Investment Advisers (RIAs) adhere to all applicable financial regulations, industry standards, and internal policies. Their main responsibilities include developing, implementing, and monitoring compliance programs, conducting internal audits, and staying updated on changes in securities laws. By helping RIAs maintain regulatory compliance, these professionals minimize legal risks and protect clients' interests. They often work closely with management, legal teams, and regulatory bodies to ensure ongoing adherence to rules governing investment advisory services.

What are some common challenges faced by full time RIA compliance professionals, and how can they be effectively managed?

Professionals in Full Time Ria Compliance roles often navigate challenges such as keeping up with evolving regulatory requirements, ensuring consistent documentation, and managing multiple audits or examinations simultaneously. To effectively manage these challenges, staying updated through continuous education and leveraging compliance management software can be helpful. Collaboration with other departments, such as legal and operations, is also essential to maintain accurate records and address compliance issues proactively. Building strong communication skills and fostering an attention to detail are key to success in this role.

What is the difference between Full Time Ria Compliance vs Registered Investment Advisor (RIA) Compliance Officer?

AspectFull Time Ria ComplianceRegistered Investment Advisor (RIA) Compliance Officer
CertificationsTypically requires Series 7, 24, or 66, and compliance-specific trainingOften holds Series 7, 24, 66, and additional compliance certifications
Work EnvironmentIn-house compliance department within an RIA firmIn-house or consulting role within RIA firms or financial institutions
Employer & Industry UsageUsed by RIA firms to ensure regulatory adherenceCommonly employed by RIA firms to oversee compliance programs

Full Time Ria Compliance professionals focus on maintaining regulatory standards within RIA firms, often holding relevant licenses and working directly in compliance departments. RIA Compliance Officers perform similar roles, ensuring adherence to SEC and FINRA rules, and may have overlapping certifications. Both roles are essential for regulatory compliance in the investment advisory industry, with similar work environments and employer usage.

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What are the most commonly searched types of Ria Compliance jobs?

The most popular types of Ria Compliance jobs are:

What job categories do people searching Full Time Ria Compliance jobs look for?

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Full Time Ria Compliance jobs near you
Infographic showing various Full Time Ria Compliance job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 84% Full Time, 11% Part Time, and 4% Contract. Highlights an 93% Physical, 3% Hybrid, and 4% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Compliance Associate

Gilder Gagnon Howe & Co. (GGHC)

New York, NY

$130K - $150K/yr

Full-time

Posted 18 days ago

Job description

About the Firm:

Founded in 1968, Gilder Gagnon Howe & Co., LLC ("GGHC") is a registered investment adviser and broker-dealer giving individuals who possess long-term patience and fortitude an opportunity to create wealth. Our clients are individuals who reach us by referral and give us a portion of their capital they wish to invest aggressively. We seek to grow our clients' capital through active research and trading of securities in their separately managed accounts.

Our team of approximately 90 employees is based on the west side of Manhattan in Hudson Yards. We are a firm united by our belief in growth investing for the long term. Each money manager is responsible for his or her own investment decisions. They are aided by analyst colleagues who scour the market for growth opportunities; allocators who help execute investment decisions and assist clients; and traders who connect us to the markets.The Firm's service to clients is possible because of a focused group of individuals working within operations, systems, development, finance, human resources, and compliance.

Job Summary:

GGHC is seeking a detail-oriented, proactive Compliance Associate to join its compliance team. The Compliance Associate will support the firm's compliance efforts by helping ensure adherence to applicable laws, regulations, and internal policies and procedures. This role will assist with employee activity monitoring, support regulatory filings, audits and inquiries, policy and procedure maintenance, compliance training, and other core compliance functions.

Code of Ethics & Employee Compliance

  • Code of Ethics Administration: Assist in administering the firm's Code of Ethics program (SEC Rule 204A-1 / FINRA rules), including oversight of annual employee attestations and certification processes.

  • Employee Activity Surveillance: Conduct routine monitoring, trade reviews, and escalation processes for personal securities transactions, Outside Business Activities (OBAs), Private Securities Transactions (PSTs), and Gifts & Entertainment.

  • Policy Enhancement: Support the implementation, maintenance, and ongoing enhancement of employee compliance policies to ensure full alignment with regulatory updates and firm standards.

Compliance Testing & Discretionary Account Surveillance

  • Periodic Testing Program: Execute periodic testing under the firm's SEC Rule 206(4)-7 and FINRA Rule 3120/3110 supervisory control programs.

  • Discretionary SMA Monitoring: Perform routine surveillance on discretionary account trading and commission structures, best execution, and trade allocation policies.

  • Daily Operations: Support daily compliance workflows, trade monitoring alerts, and operational department initiatives.

Manuals, Regulatory Filings

  • Manual Maintenance: Assist the Chief Compliance Officer (CCO) with implementing the core compliance program, updating the RIA Compliance Manual, Written Supervisory Procedures (WSPs), and desktop procedures as needed.

  • Regulatory Disclosures: Prepare, update, and file key regulatory disclosure documents, including Form ADV (Parts 1 & 2), Form BD, and Form CRS.

  • Regulatory Intelligence: Monitor SEC and FINRA regulatory developments, maintain current knowledge of industry changes, and analyze their operational impact on firm policies and procedures.

Regulatory Audits, Training & Support

  • Training & CE Oversight: Coordinate and deliver compliance training for registered and unregistered personnel, including oversight of required Regulatory Element and Firm Element Continuing Education (CE) courses.

  • Audit & Exam Support: Assist the CCO in preparing for regulatory examinations (SEC, FINRA), managing document requests, and executing firm-wide compliance projects.

  • Special Projects: Provide active support for ad hoc compliance initiatives and cross-functional firm projects.

Required Skills and Qualifications:

  • Must successfully obtain the FINRA SIE, Series 7, and Series 24 licenses within the first nine (9) months of employment.

  • 3-5 years of direct compliance experience at an SEC-registered RIA, FINRA Broker-Dealer or dual-registered firm.

  • Experience with trade monitoring and compliance platforms.

  • Strong analytics and drafting skills; ability to manage multiple regulatory deadlines in a fast-paced environment.

  • Strong verbal and written communication skills, with the ability to communicate complex compliance topics clearly and effectively.

  • Detail-oriented with the ability to manage multiple priorities, meet deadlines, and follow through on open items.

Salary Range: $130,000 - $150,000Employment Type: Full-Time

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