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Full Time Ria Compliance Jobs (NOW HIRING)

Cetera

Trading Specialist - RIA

Leawood, KS · Hybrid

Manage and optimize trading portfolios while adhering to risk and compliance guidelines. * Stay ... full-time roles, a benefits package including: * Inclusive health, dental, vision, and life ...

Cetera

Trading Specialist - RIA

Leawood, KS · Hybrid

Manage and optimize trading portfolios while adhering to risk and compliance guidelines. * Stay ... full-time roles, a benefits package including: * Inclusive health, dental, vision, and life ...

Compliance Exchange Group

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Smithtown, NY (In-Person) Employment Type: Full-Time Compensation: $150,000 - $175,000 Base Salary ... Regulatory & Compliance Oversight * Maintain direct interaction with FINRA, SEC, state regulators ...

Enterprise Recruiting Company

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Operations Manager - Registered Investment Advisory

Boca Raton, FL · On-site

$110K - $120K/yr

The ideal candidate is an experienced RIA operations professional who enjoys wearing multiple hats ... Serve as the primary operational liaison with the firm's Compliance department to ensure internal ...

Potomac

Client Operations Associate

Bethesda, MD · On-site

$60K - $80K/yr

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

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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 9, 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.

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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?

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.

Relationship Manager - RIA

Chevy Chase, MD • On-site

TritonPoint Wealth LLC
See more jobs at TritonPoint Wealth LLCexternal

$85K - $105K/yr

Full-time

Medical, Dental, Vision, Retirement, PTO

Re-posted 3 days ago

Key responsibilities

  • Providing a best-in-class service experience to clients, wealth advisors, and internal associates through frequent communication.

  • Serving as liaison to firm professionals and client services associates in research, review, and execution of high-priority investment tasks.

  • Supporting Wealth Advisors in daily client service, advising, and financial planning activities.

Job description

CAREER OPPORTUNITY

Relationship Manager

TritonPoint Wealth

Chevy Chase, MD

Full-Time · On-Site

Relationship Management & Client Service

TritonPoint Wealth is an independent private wealth management firm serving high-net-worth individuals, families, trusts, and foundations. Guided by the principle “You. First. Always,” our team delivers sophisticated investment management and financial planning. We are seeking an experienced Relationship Manager to join our organization.

 

THE ROLE

About the Position

Join us as a Relationship Manager, partnering with Wealth Advisors to support high-net-worth clients, deliver exceptional client experiences, and contribute to the financial planning and advisory process. This role offers a clear career path in wealth management with strong opportunities for development and advancement at a firm known for its collaborative culture.


RESPONSIBILITIES

Key Responsibilities

•      Providing a best-in-class service experience to a select group of clients, wealth advisors and internal associates. This entails frequent communication with clients and internal associates - both verbally and in writing.

•      Serving as liaison to firm professionals and clients services associates in the research, review and execution of sensitive and/or high priority investment related tasks.

•      Providing direct support to Wealth Advisors in daily aspects of client service, advising, and financial planning.

•      Developing in depth understanding of portfolio construction and risk management.

•      Coordinating timely investment process of new client accounts within internal guidelines.

•      Contribute to business development efforts and help identify new client opportunities.

•      Maintain accurate, organized client records across all systems, ensuring data integrity and compliance.

•      Responsibility for client data in various internal systems including the firm’s portfolio management database (Addepar).

•       Additional duties may entail participation in team projects and assisting with initiatives designed to streamline firm policies and procedures.

 

WHAT WE’RE LOOKING FOR

Preferred Qualifications

•      Four-year college degree (Bachelor’s degree in Finance, Business or Economics preferred).

•      Minimum of two years’ experience in the financial services industry preferred.

•      1 - 2+ years of relevant experience working with high-net worth individuals a plus; preferably with a Registered Investment Advisor (RIA), investment management firm or broker/dealer.

•      Professional Financial Designation (CFP®, CFA, or Series 65) preferred.

•      Strong communication skills with a genuine passion for helping others achieve their financial goals.

•      Excellent written and verbal communication skills.

•      Strong organizational, analytical, and interpersonal skills.

•      Ability to collaborate and excel in a fast-paced, team environment.

•      Proficiency with technology and willingness to learn financial planning software and CRM systems.

•       Detail-oriented approach with strong analytical and problem-solving abilities.

COMPETENCIES

Core Competencies

Client-First Mindset

Genuine care for clients; prioritizes their experience in every interaction.

Precision & Accuracy

Manages complex relationships and multi-step processes with meticulous attention to detail.

Resilience & Follow-Through

Persistent in seeing tasks to completion even when facing delays or friction.

Collaborative Spirit

Works effectively across advisor teams, operations, and custodians.

Proactive Communication

Anticipates needs and provides timely updates without being prompted.

Adaptability

Embraces new tools and responsibilities with enthusiasm in a fast-growing firm.

WHY JOIN

Why TritonPoint Wealth?

Growth & Expertise

Work alongside experienced advisors serving high-net-worth clients in an independent, growth-oriented firm.

Dynasty Network Access

Full ecosystem of Dynasty Financial Partners — resources, technology, community, and network support.

Best-in-Class Technology

Work with Addepar, eMoney, and a continuously evolving technology stack.

Culture of Integrity

A team built on trust and a genuine commitment to “You. First. Always.”


TritonPoint Wealth LLC

5404 Wisconsin Avenue, Suite 330 · Chevy Chase, MD 20815 · tritonpointwealth.com

TritonPoint Wealth LLC is registered as an investment adviser with the SEC.

Company Description

TritonPoint Wealth is an independent private wealth management firm offering a unique blend of investment management and financial planning capabilities to individuals, families, trusts, foundations, and non-profit organizations. Our mission is to help our clients navigate their financial lives with confidence.