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Remote Ria Compliance information

What is the difference between Remote Ria Compliance vs Remote Ria Operations?

AspectRemote Ria ComplianceRemote Ria Operations
Primary FocusEnsuring regulatory compliance, AML/KYC procedures, and adherence to legal standardsManaging daily business functions, client onboarding, and operational workflows
Required CredentialsCertifications in compliance, AML, or financial regulations often preferredOperational experience, knowledge of payment systems, and client management skills
Work EnvironmentRemote, compliance departments within RIA firms or financial institutionsRemote or office-based, within RIA firms or financial service companies

Remote Ria Compliance focuses on regulatory adherence and legal standards, while Remote Ria Operations handles daily business functions and client management. Both roles are essential in RIA firms, often working closely but with distinct responsibilities.

What is a Remote RIA Compliance Officer?

A Remote RIA (Registered Investment Advisor) Compliance Officer is a professional responsible for ensuring that an investment advisory firm adheres to all applicable regulations and industry standards, while working from a remote location. Their duties typically include monitoring firm activities, developing compliance policies, conducting internal audits, and managing regulatory filings. They also train staff on compliance matters and keep the firm updated on changes in laws or regulations. This role is crucial for maintaining the integrity and legal standing of an RIA firm, helping to prevent regulatory issues and protect clients' interests. Remote RIA Compliance Officers often use specialized software to track compliance activities and communicate with their teams.

What are the most common compliance challenges faced by Remote RIA Compliance professionals, and how can they be managed effectively?

Remote RIA Compliance professionals often encounter challenges such as staying updated on regulatory changes, ensuring secure handling of sensitive data, and maintaining effective communication with dispersed teams. To manage these issues, it is essential to implement robust cybersecurity protocols, participate in ongoing regulatory training, and use collaboration tools that facilitate clear documentation and reporting. Regular virtual meetings and proactive communication can also help address compliance gaps and foster a culture of transparency within the remote team.

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

To thrive as a Remote RIA Compliance professional, you need a solid understanding of SEC and FINRA regulations, investment advisory compliance, and a background in finance, often supported by a relevant degree or compliance certifications (such as IACCP). Familiarity with compliance management software, electronic filing systems, and regulatory reporting tools is typically required. Attention to detail, strong analytical thinking, and effective communication are crucial soft skills for identifying risks and ensuring adherence to regulatory standards. These skills and qualifications are vital for protecting firms from legal penalties, maintaining regulatory standards, and building client trust in a remote work environment.
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Remote Ria Compliance jobs near you
Infographic showing various Remote Ria Compliance job openings in Florida as of July 2026, with employment types broken down into 1% As Needed, 79% Full Time, 14% Part Time, 2% Temporary, and 4% Contract. Highlights an 93% Physical, 2% Hybrid, and 5% Remote job distribution.

Head of Investment Platform

Concurrent Investment Advisors

Tampa, FL • On-site, Remote

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 22 days ago

Job description

Description
We are seeking a senior executive leader to architect and scale the firm’s investment platform infrastructure.

The Head of Investment Platform serves as the enterprise architect of how investment capabilities are delivered across the organization. This role does not manage portfolios or select securities. Instead, it owns the governance, structure, scalability, and operational execution of the firm’s investment platform, spanning custodians, portfolio management systems, trading infrastructure, fintech integrations, supervisory controls, and regulatory alignment.

This is a platform leadership role focused on architecture, governance, and operational scalability. The ideal candidate has deep RIA platform experience and understands how to translate investment strategy into compliant, technology-enabled execution at scale.

Responsibilities
Enterprise Platform Architecture
  • Lead the design and evolution of the firm’s investment platform infrastructure
  • Develop and execute long term platform roadmaps aligned with firm growth and advisor needs
  • Translate CIO and Investment Committee decisions into scalable operational implementation
  • Evaluate integration of new strategies vehicles and asset classes into the platform
  • Ensure platform capabilities support personalization at scale including UMA structures SMAs direct indexing alternatives and multi asset solutions
Technology and System Integration
  • Partner with Technology to oversee portfolio accounting trading rebalancing reporting systems and data architecture
  • Drive optimization of portfolio management systems model marketplaces and alternatives platforms
  • Evaluate emerging fintech capabilities and lead implementation initiatives
  • Ensure interoperability across systems and integrity across the full investment lifecycle
Trading and Operational Infrastructure
  • Oversee trading architecture implementation workflows and model deployment practices
  • Establish best practices for rebalancing tax management cash management and complex portfolio structures
  • Partner with trading and operations teams to optimize scalability efficiency and risk controls
  • Ensure operational readiness for structured notes interval funds and alternative investment vehicles
Governance and Risk Oversight
  • Own investment platform policies and procedures in partnership with Compliance and Legal
  • Ensure alignment with fiduciary obligations suitability frameworks supervisory controls and regulatory requirements
  • Govern product onboarding platform approvals and investment access frameworks
  • Chair or co lead governance discussions related to product suitability and platform risk oversight
  • Design and oversee the firm’s investment suitability infrastructure and segmentation alignment
  • Implement guardrails across complex and non traditional products
Leadership and Strategic Execution
  • Serve as senior escalation point for platform issues advisor implementation challenges and operational risk matters
  • Act as connective leader across Investments Technology Compliance Operations and Advisor teams
  • Oversee Investment Platform Implementation and Governance teams including organizational design and performance management
  • Establish KPIs tied to platform adoption operational efficiency integration effectiveness and risk mitigation
  • Drive continuous improvement initiatives to enhance platform stability scalability and advisor experience

Qualifications
  • Ten or more years of experience in wealth management asset management RIA platform leadership TAMP OCIO or enterprise investment platform environments
  • Demonstrated experience overseeing investment platform infrastructure rather than solely portfolio management
  • Deep experience operating within multi custodian environments and complex multi system architectures
  • Proven track record implementing portfolio management systems trading systems model marketplaces and fintech integrations
  • Strong knowledge of trading supervision model governance suitability frameworks and operational oversight of alternative investments
  • Experience partnering closely with Legal and Compliance to design and maintain governance frameworks supervisory controls and platform policies
  • Working knowledge of fiduciary obligations under the Investment Advisers Act and related regulatory standards
  • Demonstrated capability in platform architecture scalability design and enterprise level operational planning
  • Executive level cross functional leadership across Investments Technology Compliance Operations and Advisor teams
  • Bachelor’s degree in Finance Business Economics or related field required
  • Advanced degree preferred
  • CFA or comparable professional designation a plus
Location / Schedule
  • This position will be remote. 
  • Working hours are 9am-5pm Monday-Friday with the option to work remote on Fridays
  • Occasional evening/weekend hours may be requested.
  • Ability to travel up to 25%
Job Type 
  • Full-time, Exempt
  • $180,000-$325,000 base per year, dependent on experience, with additional semi-annual performance bonus opportunities

Benefits
  • 401(k) matching
  • Dental insurance
  • Flexible spending account
  • Health insurance
  • Life insurance
  • Paid time off
  • Vision insurance