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Junior Chief Compliance Officer Ria Jobs (NOW HIRING)

Lennar

Chief Compliance Officer

Tallahassee, FL

Chief Compliance Officer We are Lennar Lennar is one of the nation's leading homebuilders, dedicated to making an impact and creating an extraordinary experience for their Homeowners, Communities ...

StoneX Group

Deputy Chief Compliance Officer

Miami, FL

$120K - $170K/yr

Responsibilities The Deputy Chief Compliance Officer reports directly to the Chief Compliance ... RIA entities and affiliated firms, including Forms ADV (1A), ADV-E, 13F, NP-X, 13H, and other ...

StoneX Group

Deputy Chief Compliance Officer

New York, NY · On-site

$120K - $170K/yr

Responsibilities The Deputy Chief Compliance Officer reports directly to the Chief Compliance ... RIA entities and affiliated firms, including Forms ADV (1A), ADV-E, 13F, NP-X, 13H, and other ...

P2P

Chief Compliance Officer (Stamford)

Stamford, CT · On-site

Reporting to the Chief Legal Officer, the CCO is the firm's senior compliance authority ... Design, implement, and maintain a comprehensive compliance program covering RIA, B/D, and 40 Act ...

Five Starinvest

Chief Compliance Officer

Manhattan, NY · On-site

$160 - $210/hr

Chief Compliance Officer Regular Full-Time Compliance 220 Liberty St, Warsaw, NY, US Salary Range: $160,000.00 To $210,000.00 Annually Purpose As a key senior leader of a growing and innovative ...

Moffitt

CHIEF COMPLIANCE OFFICER

Chicago, IL · On-site

Summary The Chief Compliance Officer ("CCO") of H. Lee Moffitt Cancer Center and Research Institute, Inc. ("Center") provides business leadership and vision for the strategic planning and management ...

Finalsite

Chief Compliance Officer

Glastonbury, CT · On-site +1

Reporting to the Chief Executive Officer with a dotted line to the Chief Legal Officer, the CCO will serve as the company's primary compliance authority and a strategic advisor to the executive team ...

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

As of Aug 22, 2026, the average yearly pay for junior 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 Junior Chief Compliance Officer Ria vs Compliance Analyst?

AspectJunior Chief Compliance Officer RiaCompliance Analyst
CredentialsTypically requires a bachelor’s degree in law, finance, or related field; certifications like CCEP or CRC are commonUsually holds a bachelor’s degree; certifications like CCEP or CRC are also beneficial
Work EnvironmentWorks in corporate compliance departments, often with senior management oversightWorks in compliance teams, conducting audits and monitoring adherence to regulations
Employer & Industry UsageUsed in financial services, healthcare, and large corporations to oversee compliance programsCommon across various industries for monitoring regulatory adherence and risk management

The Junior Chief Compliance Officer Ria holds a more senior role with broader responsibilities, including strategic compliance oversight, whereas a Compliance Analyst focuses on operational tasks like monitoring and reporting. Ria typically requires more experience and higher-level certifications, working closely with management to develop compliance policies.

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Junior Chief Compliance Officer Ria jobs near you
Infographic showing various Junior Chief Compliance Officer Ria 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 92% Physical, 3% Hybrid, and 5% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Chief Compliance Officer

Goodwill Industries

San Antonio, TX • On-site

Full-time

Re-posted yesterday

Job description

Company Description
Our Mission
To help change lives through the power of work. Goodwill provides career training and placement assistance for employment. We support our programs through profits generated through the sale of donated goods by our Retail business and revenue from staffing solutions managed by our Contract Services business. We invest our earnings in educational programs provided through our Good Careers Academy, Good Careers Centers and Good Choices services.
Job Description
CHIEF COMPLIANCE OFFICER
POSITION SUMMARY
Goodwill San Antonio's Chief Compliance Officer is responsible for ensuring the Agency's activities are conducted in accordance with all applicable laws, regulations, policies, procedures and practices. This position will serve as the ethical authority of the Agency, upholding the values of the Agency and best practices put forth by regulatory agencies. Working in conjunction with executive and Board
leadership this position designs, implements and maintains all areas of Agency accountability to formal Compliance Program. Chief Compliance Officer proactively mitigates Agency risk by ensuring regulatory compliance and maintenance of accreditations. Key areas of compliance oversight include 501(c)(3) status, contracts, grants, internal and external audits, regulatory and legal requirements, licensing and accreditations, employment law. Support the organization in its mission to help change lives through the power of work.
ESSENTIAL DUTIES AND RESPONSIBILITIES
  1. Working in conjunction with executive and Board leadership this position designs and implements a formal Agency-wide compliance program. Builds strong positive, but independent, working relationships with all levels of the organization to lead the development of ethical culture throughout the Agency.
  2. Reviews, formulates and communicates Agency policies and procedures and establishes controls that drive prevention and detection of violations of laws and regulations to mitigate Agency risk to every extent possible. Monitors regulatory environment and developments, and acts as primary liaison with regulatory agencies and auditors and external subject matter experts, to stay informed of changes in federal, state, regional and local applicable regulatory
    requirements.
  3. Provides legal review of government contracts under the Service Contract Act, regulatory review under the requirements of Workforce Commission for a large post-secondary education institution, and compliance grant requirements. Ensures compliance with terms of all contracts and grants.
  4. Reviews and provides guidance and recommendations on all contracts, contract renewals and change requests to which the Agency is a party. Proactively monitors contract compliance and reports findings and recommended corrections as necessary. Tracks and maintains inspection and site visit schedules.
  5. Plans, develops and implements an internal program of audits that evaluate the accuracy of information and internal controls, the degree of internal and external risk, the potential exposure and the degree of compliance with all applicable internal and external guidelines, policies and regulations. Prepares detailed management reports on audit findings, recommendations for
    improvements and corrective actions planned to mitigate risk. Follows-up on audit recommendations to assure correction of deficient or exposed areas.
  6. Initiates and oversees independent internal investigation process when there is a violation or suspected violation of a regulation, policy, rule or procedures under the purview of this position. Reports findings in a prompt and thorough manner to CEO and other executive or Board committee as required. Creates plans for corrective action and follows up with responsible parties within the Agency to report on corrections implemented to avoid future risks.
  7. Develops, initiates, maintains and oversees and monitors on a consistent and regular basis the organization's Compliance Program, including all internal and external monitoring, internal auditing, investigative and reporting processes, procedures and systems.
  8. Works closely with senior financial and human resources executives to monitor and maintain compliance with all applicable laws and regulations related to employment, financial management, charitable donations and all fiduciary responsibilities.
  9. Serves as the organization's primary point of contact for all compliance issues, including scheduling meetings, reporting on activities and making recommendations to the President/CEO, Board of Directors and any related committees.
  10. Provides direction and management of ethics and compliance hotline submission responses. Develops policies and programs that encourage staff to report suspected fraud or ethics violations without fear of retaliation, to include incentives as appropriate.

Qualifications
REQUIREMENTS
  1. Bachelor's degree in contracts management,public policy or related field. JD and/or Master's (MBA) strongly preferred.
  2. 10 - 15 years in corporate, non-profit or public entity compliance responsible for all business
    areas; maintaining federal contract compliance; negotiating complex agreements and
    business transactions
  3. Prior role as general counsel and/or Chief Compliance Officer for large, complex organization
  4. Non-profit experience a plus
  5. Excellent written and verbal communication skills with ability to effectively collaborate
  6. Advanced skills in MS Office-Word, PPT, Excel, and applicable databases.

Additional Information

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