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Full Time Ria Compliance Jobs (NOW HIRING)

Potomac

Operations Associate

Bethesda, MD · On-site

$60K - $80K/yr

  • Medical

  • Dental

  • Vision

  • Retirement

  • PTO

Involved in all core RIA operations including onboarding, transfers, money movement, service ... Maintain GIPS-compliant reporting processes with meticulous documentation and audit-ready accuracy ...

TCWGlobal

Client Services Operations Manager

New York, NY · On-site +1

$70K - $90K/yr

Client Service & Operations Manager Full Time, Direct Hire Remote, USA (EST Working Hours) $70,000 ... Experience working within an RIA or fiduciary advisory firm * Experience supporting advisors ...

TCWGlobal

Client Services Operations Manager

New York, NY · On-site +1

$70K - $90K/yr

Client Service & Operations Manager Full Time, Direct Hire Remote, USA (EST Working Hours) $70,000 ... Experience working within an RIA or fiduciary advisory firm * Experience supporting advisors ...

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 ...

Sanctuary Wealth Group LLC

Surveillance Analyst

Indianapolis, IN · Hybrid

$150K/yr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

Indianapolis, IN, San Antonio, TX, Miami, FL, Omaha, NE or Portland, OR Type: Full-Time, On-Site ... and compliance oversight by monitoring Broker-Dealer and Registered Investment Advisor (RIA ...

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Full Time Ria Compliance information

See salary details

$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.

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 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.

Operations Associate

Potomac

Bethesda, MD • On-site

$60K - $80K/yr

Full-time

Medical, Dental, Vision, Retirement, PTO

Re-posted 15 days ago

Job description

The Opportunity
At Potomac, we're not for everyone-and that's by design. We attract people who think critically, communicate clearly, and execute with urgency. People who care deeply about their work and don't need handholding to make things happen.
We're a boutique tactical asset manager with a differentiated product that serves the independent broker-dealer and RIA channel
Headquartered in Bethesda, MD, we combine institutional-grade investment expertise with a quantitative process that is Built to Conquer Risk®.
Summary
We're looking for an Operations Associate to scale efficient processes for our fast-growing asset management firm. You'll ensure operational accuracy, and help manage workflows across the organization. Intellectual curiosity, transparency, responsiveness, and attention to detail are key to thriving in this role.
Key Responsibilities
Operational
  • Involved in all core RIA operations including onboarding, transfers, money movement, service requests, and custodian interaction-executing with accuracy, urgency, and transparency.
  • Maintain GIPS-compliant reporting processes with meticulous documentation and audit-ready accuracy.
  • Assist in firmwide operational audits and proactively identify improvements that simplify processes without sacrificing detail.
  • Establish and enforce operational SLAs that reflect our commitment to responsiveness and excellence.

Client, Advisor & Custodian Support.
  • Ensure all client and account data in Orion, Zoho CRM, and custodial systems is accurate, consistent, and maintained with rigorous attention to detail.
  • Manage all custodial documentation, ensuring forms are executed correctly and processed without delay.
  • Build transparent, high-functioning relationships with custodians and operational vendors.

Process, People & Projects
  • Identify workflow gaps and implement solutions that reduce friction and enhance scalability.
  • Assist and create SOPs, training materials, and operational playbooks that reflect a culture of clarity and transparency.
  • Assist in special projects including system upgrades, new technology integrations (e.g., Zoho), custodian changes, and automation initiatives.
Required Qualifications
  • 3+ years of RIA or RIA-custodian operations experience, including leadership or elevated responsibility.
  • Demonstrated ability to operate with urgency, simplify complex workflows, and maintain elite attention to detail.
  • Strong analytical and problem-solving skills with a bias toward taking action and getting things done.
  • Exceptional follow-through, communication, and accountability skills.
  • Ability to work full-time on-site at Potomac's Bethesda, MD Headquarters.
Preferred Qualifications
  • Experience with Zoho CRM or similar CRM systems.
  • Cross-department collaboration experience (Ops + Marketing + Sales).

Potomac is not your typical asset manager. We cut through the industry BS with brutal transparency and an obsession with execution. If you're looking for a slow pace and low volume, this isn't for you.
If you want to drive, build, and scale, this is your shot.
Benefits:
  • Medical insurance
  • Vision insurance
  • Dental insurance
  • Health savings account option
  • 401(k) & other retirement benefits
  • Paid maternity leave
  • Paid paternity leave
  • Commuter benefits
  • Disability insurance
  • Paid time off

The pay range for this role is:
60,000 - 80,000 USD per year (US)

Apply