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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, 86% Full Time, 10% Part Time, and 3% Contract. Highlights an 92% Physical, 3% Hybrid, and 5% Remote job distribution.

SME & Enterprise Account Executive

Thomas Talent Network

New York, NY • Remote

$100K - $125K/yr

Full-time

Medical, PTO

Re-posted 23 days ago

Job description

Location: United States — Fully Remote
Employment Type: Full-Time
Experience: 2+ Years
Salary: $100,000 - $125,000 + uncapped commission + competitive equity
Visa Sponsorship: None available

About the Company: Our client is a decision-intelligence software company for wealth management. The platform unifies risk, compliance, and investment strategy in one place so financial advisors can run smarter practices without the manual work. The company has real product-market fit, roughly $3M in ARR, and a clear path to $10M, in a $100B+ addressable market of independent RIAs and wealth management firms across the U.S.

The team runs on EOS and sells directly to compliance officers, principals, and operations leaders at RIAs and broker-dealers. The sales org has direct access to the Head of Sales and CEO. It's a small, low-bureaucracy team where high performers shape the playbook they build.

About the Role: As an SME & Enterprise Account Executive, you'll own the company's largest and most complex deals with RIA and wealth-management firms with 50+ advisors, spanning mid-market through enterprise. This is executive relationship selling: multi-stakeholder buying committees, multi-year phased deals, and the deal architecture that wins over the biggest firms in an underserved $100B+ market. The Founder and a subject-matter expert support the largest opportunities.

You'll build trusted relationships with principals, CCOs, COOs, and operations leaders, self-source pipeline through industry relationships and referrals, and keep a forecast-accurate pipeline in HubSpot. You'll partner with the Solutions Consultant on demos and technical proof points, hand off cleanly to Customer Success at close, and report to the Head of Sales alongside one other Account Executive on the SMB segment.

What You'll Own

  • Full-cycle ownership of SME and enterprise opportunities, from qualified opportunity through signed contract, for firms with 50+ advisors
  • Executive relationships with principals, CCOs, COOs, and operations leaders across complex buying committees
  • Multi-year, phased, and enterprise-wide deal structures with strategic, justified pricing
  • A forecast-accurate pipeline in HubSpot with a reliable commit-to-close conversion
  • A clean handoff to Customer Success on every closed deal

Must-Have Requirements

  • 2+ years in wealth management, financial services, or fintech sales — fluent in RIA, custodian, compliance, and fiduciary language
  • 1+ year closing complex, multi-stakeholder deals with large-firm wealth management or fintech buyers
  • Documented quota attainment of 90%+ for at least one full year
  • Self-sourcing ability — generating pipeline through industry relationships, referrals, and events, not just inbound
  • Prior experience at a small or growth-stage company (under 100 employees), comfortable without a polished playbook
  • U.S. timezone availability

Nice-to-Have

  • Existing relationships with CCOs, CIOs, or advisory leadership at enterprise firms
  • Experience with HubSpot and modern sales tools (Outreach, Gong, LinkedIn Sales Navigator)
  • MEDDPICC, Challenger, or similar enterprise sales methodology training
  • Track record of generating client referrals in the wealth management community

Benefits & Perks

  • Uncapped commission — larger ACVs mean larger commission checks
  • Unlimited PTO
  • Health benefits for employees
  • Fully remote, U.S.-based team
  • Competitive equity