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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 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 key skills and qualifications needed to thrive as a Remote RIA Compliance professional?

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.

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 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 are popular job titles related to Remote Ria Compliance jobs in New York?

For Remote Ria Compliance jobs in New York, the most frequently searched job titles are:

What job categories do people searching Remote Ria Compliance jobs in New York look for?

The top searched job categories for Remote Ria Compliance jobs in New York are:

What cities in New York are hiring for Remote Ria Compliance jobs?

Cities in New York with the most Remote Ria Compliance job openings:

Remote Ria Compliance jobs near you
Infographic showing various Remote Ria Compliance job openings in New York as of August 2026, with employment types broken down into 1% As Needed, 82% Full Time, 13% Part Time, and 4% Contract. Highlights an 92% Physical, 3% Hybrid, and 5% Remote job distribution.

Audit Specialist - Fully Remote | Upto $80/hr

Mercor

New York, NY • Remote

$80/hr

Full-time

Posted 13 days ago

Job description

About the job

Mercor connects elite creative and technical talent with leading AI research labs. Headquartered in San Francisco, our investors include Benchmark, General Catalyst, Peter Thiel, Adam D'Angelo, Larry Summers, and Jack Dorsey.

Position: Accounting Expert
Type: Contract
Compensation: $70–$80/hour
Location: Remote

Role Responsibilities

  • Construct accounting scenarios spanning financial statement preparation, technical accounting research, and audit processes. Focus on complex transaction accounting like M&A, revenue recognition, and leases.
  • Build tasks across financial reporting, technical accounting, audit and assurance, and internal controls/SOX compliance.
  • Develop scenarios using tools such as ERP systems (SAP, Oracle), consolidation software, and audit management platforms. Include research tools like Bloomberg Tax and RIA Checkpoint.
  • Apply accounting methodologies to standards like US GAAP, PCAOB, IFRS, and ISA. Produce reference financial statements, technical accounting memos, and audit workpapers.
  • Author rubrics to distinguish authentic accounting judgment from generic textbook recall.

Qualifications

Must-Have

  • 5+ years working as an accountant, controller, or audit partner at a major accounting firm or corporation.
  • Direct ownership of financial reporting, audit engagements, or technical accounting matters.
  • Fluency in accounting tooling and understanding of regulatory reporting and audit standards.

Preferred

  • A recognized professional credential (CPA, ACCA, or CA); prior rubric or training authorship is a plus.

Application Process (Takes 20–30 mins to complete)

  • Upload resume
  • AI interview based on your resume
  • Submit form

Resources & Support

  • For details about the interview process and platform information, please check: https://talent.docs.mercor.com/welcome
  • For any help or support, reach out to: support@mercor.com

PS: Our team reviews applications daily. Please complete your AI interview and application steps to be considered for this opportunity.