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Ria Attorney Jobs (NOW HIRING)

Sydecar, Inc

Product Counsel

New York, NY · On-site

$180K - $230K/yr

About the opportunity We are hiring our first Product Counsel - a securities lawyer who can sit ... Stand up the legal scaffolding for our boutique RIA strategy: Form ADV implications, advisory rules ...

CAPZONE MANAGEMENT, LLC

Associate Attorney

Norwalk, CT · Hybrid

$124K - $125K/yr

As an Associate Attorney , you will provide broad legal support across corporate, compliance ... RIA. * Monitor evolving laws and regulations relevant to the company's operations and advise on ...

White Tiger Connections

Managing Director

Sarasota, FL · Remote

$210K - $250K/yr

... attorney, and other personal parties -- all in one place. The firm is now adding a Managing Director as a core component of that platform. When an RIA engages the platform, they gain direct access to ...

Crafted Staff

Investment Advisor #0161

Tampa, FL · On-site

$130K/yr

... RIA) in Tampa. This is a client-first, relationship-driven position where you'll operate with ... Develop and nurture Centers of Influence (CPAs, attorneys, business owners, etc.) * Provide ...

Crafted Staff

Investment Advisor #0161

Tampa, FL · On-site

... RIA) in Tampa. This is a client-first, relationship-driven position where you'll operate with ... Develop and nurture Centers of Influence (CPAs, attorneys, business owners, etc.) * Provide ...

NetLaw

Associate Relationship Manager Intern

FL · Remote

$40K - $51K/yr

... RIA network. The team works closely with Hargrove Firm attorneys, our engineering and product teams, firm-level leadership at partner RIAs, and the individual financial advisors who refer clients to ...

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Ria Attorney information

See salary details

$46K

$108.2K

$172.5K

How much do ria attorney jobs pay per year?

As of Jun 12, 2026, the average yearly pay for ria attorney in the United States is $108,160.00, according to ZipRecruiter salary data. Most workers in this role earn between $80,000.00 and $130,000.00 per year, depending on experience, location, and employer.

What are RIA attorneys?

RIA attorneys are legal professionals who specialize in working with Registered Investment Advisers (RIAs). They help RIAs navigate complex regulatory requirements, draft and review compliance documents, and ensure adherence to both federal and state securities laws. RIA attorneys provide guidance on registration, ongoing compliance, and handling regulatory examinations, making them essential for investment advisory firms to operate legally and efficiently.

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

To thrive as a RIA (Registered Investment Adviser) Attorney, you need deep knowledge of securities law, regulatory compliance, and experience with investment adviser regulations, typically supported by a JD and bar admission. Familiarity with SEC and state regulatory filing systems, Form ADV preparation, and compliance management software is essential. Exceptional attention to detail, analytical thinking, and strong communication skills help you interpret regulations and advise clients effectively. These skills ensure RIA Attorneys can protect clients from regulatory risks, support business operations, and maintain ethical standards in a highly regulated industry.

What is the difference between Ria Attorney vs Notary Public?

AspectRia AttorneyNotary Public
CredentialsLaw degree, bar admission, legal licenseNone required, state appointment
Work EnvironmentLaw firms, courts, legal officesPublic offices, mobile, or remote settings
Industry UsageLegal services, litigation, legal adviceAuthenticating documents, witnessing signatures
Common Search/ComparisonLegal expertise, legal representationDocument authentication, witnessing

While both Ria Attorneys and Notary Publics handle document-related tasks, Ria Attorneys are licensed legal professionals providing legal advice and representation, whereas Notary Publics primarily authenticate documents and witness signatures without providing legal counsel.

What are some common challenges Ria Attorneys face when handling international money transfer compliance cases?

Ria Attorneys often encounter challenges related to rapidly changing international regulations and ensuring strict compliance with anti-money laundering (AML) laws. They must stay updated on both local and global legal requirements, which can vary significantly between jurisdictions. Additionally, collaborating with cross-functional teams such as compliance, operations, and risk management is essential to identify and mitigate potential legal risks. Effective communication and adaptability are key to navigating these complexities while supporting the company's global operations.
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What cities are hiring for Ria Attorney jobs? Cities with the most Ria Attorney job openings:
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Ria Attorney jobs near you
Infographic showing various Ria Attorney job openings in the United States as of June 2026, with employment types broken down into 100% Full Time. Highlights an 64% Physical, 18% Hybrid, and 18% Remote job distribution, with an average salary of $108,160 per year, or $52 per hour.
Senior Legal Counsel - AI, Broker Dealer & RIA

Senior Legal Counsel - AI, Broker Dealer & RIA

Cetera Financial Group, Inc.

El Segundo, CA

$148K - $201K/yr

Other

Posted 28 days ago

Cetera Financial Group rating

9.1

Company rating: 9.1 out of 10

Based on 23 frontline employees who took The Breakroom Quiz

Job description

Job Description
Cetera is seeking a Senior Legal Counsel to support the firm's use of AI and emerging technology across our broker-dealer and RIA businesses. This role is focused on contracts, vendor risk, data usage, privacy and regulatory alignment.
You will serve as a trusted legal partner as Cetera evaluates, contracts for, and deploys AI-enabled tools used by advisors, supervision, operations, compliance, and corporate teams. Your role is to help the business move forward confidently while ensuring we meet our obligations as a FINRA-regulated broker-dealer and SEC-registered investment adviser and data privacy laws.
This is a practical, business-oriented role for a lawyer who understands how technology decisions intersect with supervision, fiduciary standards, privacy, and recordkeeping and who can translate that into clear guidance without slowing progress.
Responsibilities:
  • Serve as primary legal counsel for AI-enabled and technology vendor agreements supporting both the broker-dealer and RIA businesses
  • Draft, review, and negotiate commercial, SaaS, data, and technology contracts with a strong focus on:
    • Client and advisor data protection
    • Data ownership and permitted use (including AI training considerations)
    • IP rights and use of AI-generated outputs
    • Regulatory, supervision, and recordkeeping risk
  • Advise the business on legal and regulatory considerations related to AI use in:
    • Advisor tools and platforms
    • Supervision, surveillance, and monitoring
    • Client communications and content
    • Operations and support functions
  • Partner closely with cross functional teams to assess AI tools prior to adoption
  • Partner with the Cetera AI council to help establish and maintain clear, practical AI usage standards that align with BD and RIA regulatory requirements, data privacy and Cetera's risk appetite
  • Translate evolving regulatory guidance into actionable advice for business leaders
  • Support vendor diligence and assessments related to AI capabilities, data handling, outsourcing, and regulatory exposure
  • Build repeatable legal processes that fit into existing procurement, risk review, and approval workflows

Qualifications:
  • A strong commercial lawyer with a broker-dealer and/or RIA mindset
  • 5-10+ years of legal experience with working knowledge of AI, automation, and data use in financial services, ideally with data privacy experience.
  • Deep experience negotiating commercial and technology agreements
  • Understanding of BD and RIA regulatory expectations, including supervision, recordkeeping, privacy, and fiduciary considerations is preferred. Prior experience at a BD, RIA or law firm regulatory practice a plus.
  • Sound judgment and comfort operating in evolving regulatory areas
  • Ability to communicate legal risk clearly to business and technology leaders
  • Practical, collaborative, and solutions-oriented

The base salary range for this role in El Segundo is $175,000-$190,000, plus a competitive performance-based bonus. Base salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Salary range may also differ significantly due to geography and cost of labor considerations.

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