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Internship Chief Compliance Officer Ria Jobs (NOW HIRING)

PeopleFluent

Chief Compliance Officer

Boston, MA · On-site

We are seeking a Chief Compliance Officer who can provide advisory oversight in all facets of our ... The ideal candidate will have extensive knowledge of today's compliance environment for RIA's and ...

PeopleFluent

Chief Compliance Officer

Boston, MA

We are seeking a Chief Compliance Officer who can provide advisory oversight in all facets of our ... The ideal candidate will have extensive knowledge of today's compliance environment for RIA's and ...

REQ Solutions

Chief Compliance Officer

Manhattan, NY · Hybrid

$280K - $330K/yr

Chief Compliance Officer Location: New York City | Hybrid role - 2-3 day onsite Direct Reports: Chief BSA Officer, Chief AML Officer, Chief of Staff and all supporting staff Full-time Salary Range:

Procyon

Chief Compliance Officer

Shelton, CT

Chief Compliance Officer (CCO)/ General Counsel (GC)HYBRID ROLE Procyon is a vibrant and growing wealth management platform comprised of a Registered Investment Advisor (RIA), Benefits, Tax and Risk ...

Day Spring

Chief Compliance Officer

Louisville, KY

The Chief Compliance Officer supervises the Billing & Occupancy Manager, Medication Coordinator, Health Data Coordinator, and IR & Medical Records Coordinator. The Chief Compliance Officer ...

Eagle Bancorp, Inc.

Chief Compliance Officer

Bethesda, MD · Hybrid

$176K - $303K/yr

The Chief Compliance Officer also serves as the Bank's Privacy Officer, CRA Compliance Officer, Reg O Officer and is a key member of the Ethics Office. The Chief Compliance Officer partners closely ...

EagleBank

Chief Compliance Officer

Bethesda, MD · On-site

$176K - $303K/yr

The Chief Compliance Officer also serves as the Bank's Privacy Officer, CRA Compliance Officer, Reg O Officer and is a key member of the Ethics Office. The Chief Compliance Officer partners closely ...

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Internship Chief Compliance Officer Ria information

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$31.5K

$98.9K

$207.5K

How much do internship chief compliance officer ria jobs pay per year?

As of Jun 17, 2026, the average yearly pay for internship chief compliance officer ria 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 the difference between Internship Chief Compliance Officer Ria vs Compliance Analyst?

AspectInternship Chief Compliance Officer RiaCompliance Analyst
CredentialsTypically pursuing or holding a degree in law, business, or compliance; internships may not require certificationsOften requires a bachelor's degree; certifications like CCEP are a plus
Work EnvironmentInternship setting within compliance departments, focusing on learning and support rolesFull-time or part-time roles in compliance teams, analyzing policies and monitoring compliance
Employer & Industry UsageUsed in financial, healthcare, and corporate sectors for training future compliance leadersCommon across industries for ongoing compliance monitoring and reporting

While Internship Chief Compliance Officer Ria is an entry-level, learning-focused role preparing for future leadership, Compliance Analyst is a more experienced, operational role responsible for analyzing and ensuring ongoing compliance within organizations.

What does an Internship Chief Compliance Officer at Ria do?

An Internship Chief Compliance Officer at Ria supports the company's compliance department in ensuring that all operations adhere to legal and regulatory requirements, especially related to money transfer and financial services. Interns typically assist with compliance monitoring, policy review, risk assessment, and staff training on regulatory standards. They may also help in preparing reports for audits and investigating potential compliance issues. This role offers hands-on experience in compliance management and insight into financial industry regulations.

What kind of projects or tasks can an intern expect to work on while supporting the Chief Compliance Officer at Ria?

As an intern assisting the Chief Compliance Officer at Ria, you can expect to engage in a variety of compliance-related tasks, such as helping to review and update internal policies, assisting with regulatory research, and supporting the preparation of compliance reports. You may also be involved in monitoring transactions for potential compliance issues and collaborating with different departments to ensure adherence to industry regulations. This hands-on experience provides valuable exposure to the frameworks and processes that govern financial services compliance, and offers insight into the broader risk management strategies of a global organization.

What are the key skills and qualifications needed to thrive as an Internship Chief Compliance Officer at Ria, and why are they important?

To thrive as an Internship Chief Compliance Officer at Ria, you need a solid understanding of regulatory compliance, risk assessment, and relevant financial industry standards, typically supported by coursework or experience in law, finance, or business. Familiarity with compliance management systems, AML (Anti-Money Laundering) software, and knowledge of frameworks like GDPR or OFAC is often required. Strong analytical thinking, attention to detail, and effective communication skills help you interpret regulations and collaborate across departments. These skills are crucial for ensuring the company adheres to legal requirements, mitigates risk, and maintains a trustworthy reputation.
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Internship Chief Compliance Officer Ria jobs near you
Chief Compliance Officer

Chief Compliance Officer

Caldwell Sutter Capital, Inc.

Sausalito, CA

$175K - $325K/yr

Full-time

Posted 25 days ago

Job description

Overview

Compensation:$175,000 – $325,000+ total compensation, depending on experience, licensing, and scope of responsibility

Chief Compliance Officer
Caldwell Sutter Capital

Location: Sausalito, CA (Preferred) | Hybrid / Remote Considered

Compensation:$175,000 – $325,000+ total compensation, depending on experience, licensing, and scope of responsibility

About Caldwell Sutter Capital

Caldwell Sutter Capital is a growing, dually registered financial services firm operating as both a FINRA regulated broker-dealer and an SEC registered investment advisor. As part of our continued growth, we are separating the Chief Compliance Officer and Chief Financial Officer roles and are seeking an experienced Chief Compliance Officer to lead our compliance function.

The firm maintains an established compliance program supported by executive leadership and external resources. We are seeking a CCO who will retain full accountability for the program while ensuring it continues to scale effectively with the firm.

Position Overview

The Chief Compliance Officer will oversee compliance for both the broker-dealer and the RIA, ensuring ongoing adherence to SEC, FINRA, and applicable state regulations. While certain compliance activities are supported by external service providers, this role maintains overall responsibility for oversight, review, and completion of all compliance obligations.

This position is well suited for a seasoned compliance professional who is comfortable balancing hands-on execution with strategic leadership and continuous improvement.

Key Responsibilities
  • Serve as Chief Compliance Officer for both the broker-dealer and registered investment advisor
  • Maintain overall responsibility for the firm’s SEC and FINRA compliance programs
  • Ensure all compliance-related tasks and regulatory obligations are completed accurately and on time, including those supported by external resources
  • Oversee compliance policies, procedures, and internal controls, and recommend enhancements as appropriate
  • Act as primary liaison with FINRA, SEC, and state regulators
  • Lead and manage regulatory examinations, audits, and inquiries
  • Oversee regulatory filings, disclosures, and reporting obligations
  • Monitor regulatory developments and advise executive leadership on implications for the firm
  • Provide compliance guidance in support of business initiatives and growth
  • Deliver firm-wide compliance training and education
  • Oversee licensing, registrations, and continuing education requirements
  • Coordinate with external advisors and service providers as needed
Qualifications & Experience
  • 5–15+ years of compliance experience within a broker-dealer and/or RIA
  • Prior experience as a Chief Compliance Officer or senior compliance leader strongly preferred
  • Strong working knowledge of SEC and FINRA regulatory frameworks
  • Required FINRA licenses (or ability to obtain promptly):
  • Series 7 – required
  • Series 24 – required
  • Series 66 or 65 preferred
  • Demonstrated experience managing regulatory examinations
  • Strong organizational skills, attention to detail, and regulatory judgment
  • Ability to work effectively with executive leadership and external partners
  • Practical, risk-based approach to compliance
Compensation & Benefits
  • Base Salary Range:$160,000 – $300,000+
  • Total Compensation Potential:$175,000 – $325,000+, including:
  • Annual bonus and/or discretionary performance incentives
  • Potential long-term incentives or profit participation for senior candidates
  • Comprehensive benefits package
  • Support for continuing education and licensing
  • Flexible work arrangements for the right candidate
Location & Work Style
  • Sausalito, CA (in-person preferred)
  • Hybrid or remote arrangements may be considered for highly qualified candidates with relevant dual-registration experience
Why Join Caldwell Sutter Capital
  • Established compliance infrastructure with executive support
  • Clear accountability and authority for the CCO role
  • Balance of strategic leadership and practical execution
  • Competitive, flexible compensation aligned with experience
  • Professional, collaborative culture focused on integrity and growth
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