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Full Time Ria Compliance Jobs (NOW HIRING)

Finvest

Chief of Staff

San Francisco, CA · On-site

This is a part-time role, with the potential to transition into a full-time role based on mutual ... Manage compliance requirements for being an RIA * Setup interviews with users and run day-to-day ...

Frontage Laboratories

Scientist- Biologics

Exton, PA · On-site

Exton, PA Full-time Frontage Laboratories Inc. is an award winning, full-service, CRO/Contract ... RIA applicable to Pharmacokinetic and Immunogenicity studies), with proficiency • Prepare and ...

JVIS

Controls Engineer

Benton Harbor, MI · On-site

$77K - $100K/yr

... to determine compliance to code. (OSHA, NFPA, RIA) * Strong Knowledge of electrical safety and ... Employment Type: FULL_TIME

Potomac

Sales Associate

Bethesda, MD · On-site

$50K/yr

... broker-dealer and RIA channel Headquartered in Bethesda, MD, we combine institutional-grade ... This is a full-time, on-site position at our home office in the Avocet Tower in downtown Bethesda.

Technique, Inc.

Controls/Robotic Engineer

Jackson, MI · On-site

$74K - $96K/yr

Safety Compliance - Ensure all automated systems comply with applicable safety standards including ... This is a full-time, salaried-exempt position. Standard hours are Monday through Friday, 8.0 hours ...

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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 Jul 21, 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.

Will compliance be replaced by AI?

Full Time RIA Compliance professionals oversee adherence to regulations and often use compliance management software and data analysis tools. While AI can assist with tasks like monitoring transactions and flagging potential issues, human judgment remains essential for interpreting complex regulations and making final compliance decisions.

What are the key skills and qualifications needed to thrive as a Full Time RIA Compliance professional, and why are they important?

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 Full Time RIA Compliance professionals?

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 professionals in a Full Time Ria Compliance role, 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.

Is compliance hard to break into?

Full Time RIA Compliance roles can be competitive, often requiring relevant knowledge of regulations such as SEC or FINRA rules, attention to detail, and sometimes certifications like CRCM or CFE. Gaining experience through internships or related positions can help ease entry into the field, but it generally requires a strong understanding of compliance standards and industry regulations.

What is the highest paying job in compliance?

In compliance, senior roles such as Chief Compliance Officer (CCO) or Compliance Director tend to be the highest paying, often earning six-figure salaries or more. These positions require extensive experience, leadership skills, and knowledge of regulations, and they oversee compliance programs across organizations, including financial institutions and corporations.

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.

How much does a RIA compliance consultant cost?

The cost of a RIA compliance consultant typically ranges from $2,000 to $10,000 per month, depending on the firm's size, complexity, and the scope of services required. Consultants may charge hourly rates between $150 and $400, especially for specific projects or ongoing support. Fees can vary based on the level of expertise and whether the consultant provides ongoing compliance monitoring or just initial assessments.
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 July 2026, with employment types broken down into 1% As Needed, 82% Full Time, 12% Part Time, and 5% Contract. Highlights an 94% Physical, 2% Hybrid, and 4% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Chief of Staff

Finvest

San Francisco, CA • On-site

Full-time

Re-posted 7 days ago

Job description

We are looking for a Chief of Staff to join our team in San Francisco. In this role, you will work directly with the CEO on initiatives across product, marketing, and operations.
This is a part-time role, with the potential to transition into a full-time role based on mutual fit and business needs.
What you will do
There is not a defined set of responsibilities for this role. We're looking for someone who is willing to wear multiple hats and help out wherever needed to move things forward. Some of your responsibilities might include:
  • Help build out marketing artifacts and drive growth campaigns
  • Manage compliance requirements for being an RIA
  • Setup interviews with users and run day-to-day customer support
  • Conduct functional testing of new features and updates before rollouts
  • Analyze data to provide insights for improving the product and customer experience

What you are good at
  • You take ownership and can get things done with limited guidance
  • You are resourceful, scrappy, and are not afraid to pick up new skills
  • You can interact effectively with team members, customers, and various stakeholders

Apply