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Remote Ria Compliance Jobs in New York (NOW HIRING)

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 ...

Professions Inc

Senior Wealth Advisor

Manhattan, NY · Remote

Partner with my client, a Modern, Tech-Forward RIA They partner with experienced, independent ... This partnership is a fit for advisors who thrive in a remote-first, collaborative environment and ...

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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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Infographic showing various Remote Ria Compliance job openings in New York as of July 2026, with employment types broken down into 98% Full Time, and 2% Contract. Highlights an 100% Remote job distribution.

RIA Business Development, Senior Associate

InvestX Capital Ltd

New York, NY • On-site, Remote

$150K - $170K/yr

Full-time

Re-posted 3 days ago

Job description

The Company

InvestX launched in 2014is alate-stageventure fund investing out of Fund 5.With over US$700 million in investments and35+ portfolio companies including Palantir, Anthropic, SpaceX, Airbnb, SoFi, Spotify,DocuSign, and many more.We work with leading North Americanwealth managementfirmsand family office clientsto offerour multi-position and single purpose funds.


InvestX is backed by leading financial institutions Jefferies, Virtu Financial, and Canaccord Genuity and has been featured in CNBC, Forbes, Bloomberg, U.S. News, Business Insider, Reuters, The Globe and Mail, and many other publications.


About the Role

We are seeking a highly motivated and well-connected RIA Business Development, Senior Associate to expand our Registered Investment Advisor (RIA) distribution channel. This individual will be responsible for identifying, prospecting, and onboarding new RIAs while managing the approval process to enable firms to offer InvestX private market investment solutions.


This role is ideal for a self-starter with an established network within the RIA community and a proventrack record of opening new relationships, navigating home office approval processes, and raising assets for alternative investments. The successful candidate will work closely with National Accounts, Sales, Marketing, and Compliance to build a scalable pipeline of new RIA opportunities.


Location:
United States (Remote), or Hybrid - New York


Key Responsibilities

Business Development

  • Identify, prospect, and engage new RIAs across the U.S.
  • Develop and execute a strategic territory plan focused on acquiring new advisory firms.
  • Leverage existing industry relationships to generate meetings with decision-makers, CIOs, investment committees, and portfolio managers.
  • Build and maintain a robust pipeline of qualified RIA opportunities using Salesforce and other prospecting tools.
  • Represent the firm at industry conferences, networking events, and advisor meetings.


RIA Approval Process

  • Support firms through the due diligence and approval process from initial introduction to platform approval.
  • Coordinate with Compliance, Legal, Operations, and National Accounts to facilitate onboarding.
  • Support Head of RIAs, Business Development relationships with investment committees, due diligence teams, and home office contacts.
  • Track approval status and proactively remove obstacles to accelerate timelines.
  • Maintain detailed knowledge of each firm's investment process, alternative investment requirements, and platform structure.


Relationship Management

  • Build long-term relationships with key RIA decision-makers.
  • Conduct presentations, webinars, and training sessions to increase awareness and adoption.
  • Partner with the Head of RIAs, Business Development to support firms after approval and drive asset growth.

Market Intelligence

  • Identify trends within the RIA marketplace.
  • Monitor competitor activity and platform developments.
  • Provide feedback on product positioning, pricing, and advisor demand.


Qualifications

Required Experience

  • 7+ years of business development experience within wealth management or alternative investments.
  • Demonstrated success selling private equity, private credit, venture capital, hedge funds, or other alternative investment products.
  • Existing network of RIA decision-makers, CIOs, investment committees, and financial advisors.
  • Proven experience securing new RIA approvals and navigating due diligence processes.
  • Strong understanding of the independent wealth management industry.


Preferred Qualifications

  • Experience working with private market or alternative investment managers.
  • Knowledge of accredited investor regulations and alternative investment structures.
  • Experience using Salesforce or similar CRM platforms.
  • FINRA Series 7 and 63 preferred.


Core Competencies

  • Exceptional prospecting and business development skills.
  • Strong relationship-building and networking abilities.
  • Strategic thinker with a consultative sales approach.
  • Excellent presentation and communication skills.
  • Highly organized with strong pipeline management.
  • Self-motivated and comfortable working independently.
  • Results-oriented with a history of exceeding sales targets.


Success Metrics

  • Number of new RIA firms engaged.
  • Number of RIA firms approved.
  • Time from initial outreach to approval.
  • Assets raised through newly approved RIAs.
  • Pipeline growth and conversion rates.


Salary & Benefits

  • 2026base salaryrange is $150,000 - $170,000USDplusincentive plan and equity
  • Actual salaries may vary based on factors, such as skill, experience, location, and qualifications for the role.
  • Comprehensive Health & Benefit plan.


If this opportunity sounds like it is a good match with your skills,background,and career direction, please apply through our Careers Page (https://www.investx.com/careers/)
with your cover letter and resume.


InvestXwelcomes applications from all qualified candidates, including women, persons with disabilities, aboriginal peoples, Indigenous peoples, visible minorities, race, color, religion, sex, sexual orientation, gender identity, or national origin. Reasonable accommodation for applicants with disabilities is available upon request in connection with the recruitment process.gender identity, or national origin.Reasonable accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Apply