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Full Time Ria Compliance Jobs (NOW HIRING)

Osaic

Compliance Analyst - IA Oversight

La Vista, NE · Hybrid

$65K - $69K/yr

Role Type: Full-time Salary: $65k - $69k per year + annual performance-based bonus Actual ... Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures

Osaic

Compliance Analyst - IA Oversight

Oakdale, MN · Hybrid

$65K - $69K/yr

Role Type: Full-time Salary: $65k - $69k per year + annual performance-based bonus Actual ... Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures

Osaic

Compliance Analyst - IA Oversight

Petersburg, VA · Hybrid

$65K - $69K/yr

Role Type: Full-time Salary: $65k - $69k per year + annual performance-based bonus Actual ... Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures

Osaic

Compliance Analyst - IA Oversight

Atlanta, GA · Hybrid

$65K - $69K/yr

Role Type: Full-time Salary: $65k - $69k per year + annual performance-based bonus Actual ... Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures

Osaic

Compliance Analyst - IA Oversight

Scottsdale, AZ · Hybrid

$65K - $69K/yr

Role Type: Full-time Salary: $65k - $69k per year + annual performance-based bonus Actual ... Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures

Osaic

Compliance Analyst - IA Oversight

Atlanta, GA · Hybrid

$65K - $69K/yr

Role Type: Full-time Salary: $65k - $69k per year + annual performance-based bonus Actual ... the RIA firms under direction of the RIA Compliance SVP. This Investment Advisory Compliance ...

Osaic

VP, Osaic Advisors Channel Compliance

La Vista, NE · Hybrid

$170K - $200K/yr

Role Type: Full-Time Salary: $170,000 - $200,000 per year + annual bonus Actual compensation ... The ideal candidate will have (1) a successful RIA compliance track record, with meaningful broker ...

Thrivent Financial

Mgr, Compliance - LIC

$114K - $155K/yr

Perform ongoing testing and reviews of RIA policies, procedures, products and operations pursuant ... The applicable salary or hourly wage range for this full-time role is $114,731.00 - $155,224.00 per ...

Osaic

VP, Osaic Advisors Channel Compliance

Atlanta, GA · Hybrid

$170K - $200K/yr

Role Type: Full-Time Salary: $170,000 - $200,000 per year + annual bonus Actual compensation ... The ideal candidate will have (1) a successful RIA compliance track record, with meaningful broker ...

Osaic

VP, Osaic Advisors Channel Compliance

Petersburg, VA · Hybrid

$170K - $200K/yr

Role Type: Full-Time Salary: $170,000 - $200,000 per year + annual bonus Actual compensation ... The ideal candidate will have (1) a successful RIA compliance track record, with meaningful broker ...

Osaic

VP, Osaic Advisors Channel Compliance

La Vista, NE · Hybrid

$170K - $200K/yr

Role Type: Full-Time Salary: $170,000 - $200,000 per year + annual bonus Actual compensation ... The ideal candidate will have (1) a successful RIA compliance track record, with meaningful broker ...

Osaic

VP, Osaic Advisors Channel Compliance

Scottsdale, AZ · Hybrid

$170K - $200K/yr

Role Type: Full-Time Salary: $170,000 - $200,000 per year + annual bonus Actual compensation ... The ideal candidate will have (1) a successful RIA compliance track record, with meaningful broker ...

Osaic

VP, Osaic Advisors Channel Compliance

Oakdale, MN · Hybrid

$170K - $200K/yr

Role Type: Full-Time Salary: $170,000 - $200,000 per year + annual bonus Actual compensation ... The ideal candidate will have (1) a successful RIA compliance track record, with meaningful broker ...

Osaic

VP, Osaic Advisors Channel Compliance

Atlanta, GA · Hybrid

$170K - $200K/yr

Role Type: Full-Time Salary: $170,000 - $200,000 per year + annual bonus Actual compensation ... The ideal candidate will have (1) a successful RIA compliance track record, with meaningful broker ...

Osaic

VP, Osaic Advisors Channel Compliance

Atlanta, GA · Hybrid

$170K - $200K/yr

Role Type: Full-Time Salary: $170,000 - $200,000 per year + annual bonus Actual compensation ... The ideal candidate will have (1) a successful RIA compliance track record, with meaningful broker ...

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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 Sep 8, 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 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 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 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.

More about Full Time Ria Compliance jobs

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?

The top searched job categories for Full Time Ria Compliance jobs are:

Full Time Ria Compliance jobs near you
Infographic showing various Full Time Ria Compliance job openings in the United States as of September 2026, with employment types broken down into 1% As Needed, 84% Full Time, 11% Part Time, and 4% Contract. Highlights an 90% Physical, 2% Hybrid, and 8% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Compliance Analyst - IA Oversight

La Vista, NE • Hybrid

Osaic
Finance and Insurance • 1 - 5K employees
Learn more about Osaicexternal

$65K - $69K/yr

Full-time

Medical, Dental, Vision, Retirement

Posted 18 days ago

Osaic rating

8.1

Company rating: 8.1 out of 10

Based on 12 frontline employees who took The Breakroom Quiz

Job description

Current Employees and Contractors Apply HereOsaic Careers

Compliance Opportunity in Financial Services

Compliance Analyst - IA Oversight

Location(s):

Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339

La Vista: 12325 Port Grace Blvd, La Vista, NE 68128

Oakdale: 7755 3rd St. N, Oakdale, MN 55128

Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

Role Type: Full-time

Salary: $65k - $69k per year + annual performance-based bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page:Osaic Benefits.

Summary:

The Investment Advisory Compliance Analyst will be involved in a variety of compliance functions including monitoring & testing, risk assessment, training, remediation and reporting of compliance issues within the RIA firms under direction of the RIA Compliance SVP. This Investment Advisory Compliance Analyst is involved on a day-to-day basis in interpreting and applying compliance policies and procedures to business practices.

Education Requirements:

  • Bachelor's Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered

Responsibilities:

  • Support the existing Investment Advisory Compliance surveillance program
  • Conduct risk assessments and testing of IA compliance programs and Financial Planning
  • Perform Monitoring & Surveillance over business processes and controls
  • Analyze current IA Compliance functions and suggest enhancements and standardization, where appropriate.
  • Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements
  • Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures
  • Support advisors by providing guidance on RIA policy and procedures questions
  • Execute desktop procedures for RIA surveillance and other IAR related activities
  • All other duties as assigned

Basic Requirements:

  • Minimum of two years of relevant work experience with a broker/dealer, registered investment adviser, regulatory agency, or similar financial institution.
  • Excellent verbal and written communication skills.
  • Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook).
  • Strong abilities in analytical thinking, problem solving, research, and time management.

Preferred Requirements:

  • FINRA Series 7, 24 66 or 63/65) a plus.
  • Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933.
  • Experience in monitoring, testing, and conducting risk assessments of investment advisory compliance activities.
Current Employees and Contractors Apply Here

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Hours and flexibility

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About Osaic

Sourced by ZipRecruiter

Industry

Finance and insurance

Company size

1,001 - 5,000 Employees

Headquarters location

Phoenix, AZ, US

Year founded

2016

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