The CCO will oversee the regulatory compliance for a rapidly growing Registered Investment Advisor (RIA), engaging with the SEC and ensuring comprehensive compliance measures are in place. The ideal ...
The CCO will oversee the regulatory compliance for a rapidly growing Registered Investment Advisor (RIA), engaging with the SEC and ensuring comprehensive compliance measures are in place. The ideal ...
The CCO will oversee the regulatory compliance program for a rapidly growing Registered Investment Advisor (RIA), serving as primary SEC liaison, managing Form ADV processes across all RIA entities ...
The CCO will oversee the regulatory compliance program for a rapidly growing Registered Investment Advisor (RIA), serving as primary SEC liaison, managing Form ADV processes across all RIA entities ...
Chief Compliance Officer
Dallas, TX · On-site
$150 - $200/hr
The CCO will oversee the regulatory compliance program for a rapidly growing Registered Investment Advisor (RIA), serving as primary SEC liaison, managing Form ADV processes across all RIA entities ...
Chief Compliance Officer
Dallas, TX · On-site
$150 - $200/hr
The CCO will oversee the regulatory compliance program for a rapidly growing Registered Investment Advisor (RIA), serving as primary SEC liaison, managing Form ADV processes across all RIA entities ...
Compliance Officer
Los Angeles, CA · Hybrid
You'll own substantive compliance work across the RIA's program - with support - while operating ... with the judgment and independence to shape how the program is built. You'll also serve as a ...
Compliance Officer
Los Angeles, CA · Hybrid
You'll own substantive compliance work across the RIA's program - with support - while operating ... with the judgment and independence to shape how the program is built. You'll also serve as a ...
Compliance Officer
San Francisco, CA · Hybrid
You'll own substantive compliance work across the RIA's program - with support - while operating ... with the judgment and independence to shape how the program is built. You'll also serve as a ...
Compliance Officer
San Francisco, CA · Hybrid
You'll own substantive compliance work across the RIA's program - with support - while operating ... with the judgment and independence to shape how the program is built. You'll also serve as a ...
Multi-Billion AUM RIA Overview Multi-Billion AUM RIA seeks a Chief Compliance Officer to provide executive leadership and strategy over compliance, risk management, control & operations. The CCO will ...
Multi-Billion AUM RIA Overview Multi-Billion AUM RIA seeks a Chief Compliance Officer to provide executive leadership and strategy over compliance, risk management, control & operations. The CCO will ...
Compliance Officer
Dallas, TX · Hybrid
You'll own substantive compliance work across the RIA's program - with support - while operating ... with the judgment and independence to shape how the program is built. You'll also serve as a ...
Compliance Officer
Dallas, TX · Hybrid
You'll own substantive compliance work across the RIA's program - with support - while operating ... with the judgment and independence to shape how the program is built. You'll also serve as a ...
Compliance Officer
Dallas, TX · On-site
You'll own substantive compliance work across the RIA's program - with support - while operating with the judgment and independence to shape how the program is built. You'll also serve as a trusted ...
Compliance Officer
Dallas, TX · On-site
You'll own substantive compliance work across the RIA's program - with support - while operating with the judgment and independence to shape how the program is built. You'll also serve as a trusted ...
Compliance Officer
San Francisco, CA · On-site
You'll own substantive compliance work across the RIA's program - with support - while operating with the judgment and independence to shape how the program is built. You'll also serve as a trusted ...
Compliance Officer
San Francisco, CA · On-site
You'll own substantive compliance work across the RIA's program - with support - while operating with the judgment and independence to shape how the program is built. You'll also serve as a trusted ...
Compliance Officer
Los Angeles, CA · On-site
You'll own substantive compliance work across the RIA's program - with support - while operating with the judgment and independence to shape how the program is built. You'll also serve as a trusted ...
Compliance Officer
Los Angeles, CA · On-site
You'll own substantive compliance work across the RIA's program - with support - while operating with the judgment and independence to shape how the program is built. You'll also serve as a trusted ...
Investment Compliance Analyst
Beachwood, OH · On-site +1
$70K - $80K/yr
We are looking for an experienced Compliance Analyst to support the Stratos RIA Compliance Program. We are a growing department that offers room to develop and advance skills. Essential Duties and ...
Investment Compliance Analyst
Beachwood, OH · On-site +1
$70K - $80K/yr
We are looking for an experienced Compliance Analyst to support the Stratos RIA Compliance Program. We are a growing department that offers room to develop and advance skills. Essential Duties and ...
Investment Compliance Analyst
Beachwood, OH · On-site +1
$70K - $80K/yr
We are looking for an experienced Compliance Analyst to support the Stratos RIA Compliance Program. We are a growing department that offers room to develop and advance skills. Essential Duties and ...
Investment Compliance Analyst
Beachwood, OH · On-site +1
$70K - $80K/yr
We are looking for an experienced Compliance Analyst to support the Stratos RIA Compliance Program. We are a growing department that offers room to develop and advance skills. Essential Duties and ...
As we scale, we're adding a second Chief Compliance Officer to take on one of the two CCO roles (broker-dealer or RIA, based on fit and experience), while our current CCO retains the other. You'll ...
As we scale, we're adding a second Chief Compliance Officer to take on one of the two CCO roles (broker-dealer or RIA, based on fit and experience), while our current CCO retains the other. You'll ...
Chief Compliance Officer (FINRA Broker Dealer or SEC RIA)
Manhattan, NY · On-site
$180 - $260/hr
As we scale, we're adding a second Chief Compliance Officer to take on one of the two CCO roles (broker-dealer or RIA, based on fit and experience), while our current CCO retains the other. You'll ...
Chief Compliance Officer (FINRA Broker Dealer or SEC RIA)
Manhattan, NY · On-site
$180 - $260/hr
As we scale, we're adding a second Chief Compliance Officer to take on one of the two CCO roles (broker-dealer or RIA, based on fit and experience), while our current CCO retains the other. You'll ...
As we scale, we're adding a second Chief Compliance Officer to take on one of the two CCO roles (broker-dealer or RIA, based on fit and experience), while our current CCO retains the other. You'll ...
As we scale, we're adding a second Chief Compliance Officer to take on one of the two CCO roles (broker-dealer or RIA, based on fit and experience), while our current CCO retains the other. You'll ...
Summary This role leads Broker Dealer and RIA compliance oversight for Transamerica Retirement, managing a team of compliance professionals and partnering with the Retirement Chief Compliance Officer ...
Summary This role leads Broker Dealer and RIA compliance oversight for Transamerica Retirement, managing a team of compliance professionals and partnering with the Retirement Chief Compliance Officer ...
Chief Compliance Officer Reporting To: CEO Location: Dallas, Texas (in-person strongly preferred ... The Company is a rapidly growing Registered Investment Advisor ("RIA"), focused primarily on ...
Chief Compliance Officer Reporting To: CEO Location: Dallas, Texas (in-person strongly preferred ... The Company is a rapidly growing Registered Investment Advisor ("RIA"), focused primarily on ...
Summary This role leads Broker Dealer and RIA compliance oversight for Transamerica Retirement, managing a team of compliance professionals and partnering with the Retirement Chief Compliance Officer ...
Summary This role leads Broker Dealer and RIA compliance oversight for Transamerica Retirement, managing a team of compliance professionals and partnering with the Retirement Chief Compliance Officer ...
Summary This role leads Broker Dealer and RIA compliance oversight for Transamerica Retirement, managing a team of compliance professionals and partnering with the Retirement Chief Compliance Officer ...
Summary This role leads Broker Dealer and RIA compliance oversight for Transamerica Retirement, managing a team of compliance professionals and partnering with the Retirement Chief Compliance Officer ...
Chief Compliance Officer
Dallas, TX · On-site
Chief Compliance Officer Reporting To: CEO Location: Dallas, Texas (in-person strongly preferred ... The Company is a rapidly growing Registered Investment Advisor ("RIA"), focused primarily on ...
Chief Compliance Officer
Dallas, TX · On-site
Chief Compliance Officer Reporting To: CEO Location: Dallas, Texas (in-person strongly preferred ... The Company is a rapidly growing Registered Investment Advisor ("RIA"), focused primarily on ...
Ria Compliance information
See salary details
$31.5K - $47.5K
10% of jobs
$60.4K is the 25th percentile. Wages below this are outliers.
$47.5K - $63.5K
19% of jobs
$63.5K - $79.5K
19% of jobs
The median wage is $81.5K / yr.
$79.5K - $95.5K
17% of jobs
$106.4K is the 75th percentile. Wages above this are outliers.
$95.5K - $111.5K
15% of jobs
$111.5K - $127.5K
6% of jobs
$127.5K - $143.5K
5% of jobs
$143.5K - $159.5K
3% of jobs
$159.5K - $175.5K
2% of jobs
$175.5K - $191.5K
2% of jobs
$191.5K - $207.5K
1% of jobs
$31.5K
$98.9K
$207.5K
How much do ria compliance jobs pay per year?
As of Aug 7, 2026, the average yearly pay for ria compliance in the United States is $98,949.00, according to ZipRecruiter salary data. Most workers in this role earn between $61,500.00 and $115,000.00 per year, depending on experience, location, and employer.
What is a RIA Compliance?
A RIA (Registered Investment Advisor) Compliance job involves ensuring that an investment advisory firm follows all regulatory requirements set by the SEC, FINRA, and state regulators. Compliance professionals develop policies, conduct audits, monitor trading activities, and maintain proper disclosures to protect clients and the firm from legal or regulatory issues. They also provide guidance on ethical practices, manage regulatory filings like Form ADV, and stay updated on changing laws to ensure continuous compliance.
What are the key skills and qualifications needed to thrive in the RIA Compliance position?
To thrive in an RIA Compliance role, you need a solid understanding of SEC and FINRA regulations, investment advisory operations, and an educational background in finance, law, or a related field. Experience with compliance management systems, regulatory filing platforms like IARD, and certifications such as the Investment Adviser Certified Compliance Professional (IACCP) are highly valued. Exceptional analytical thinking, attention to detail, and strong communication skills help set successful compliance professionals apart. These capabilities are vital to ensure advisory firms remain regulatory compliant, mitigate risks, and build trust with clients and regulators.
What are some typical challenges faced by RIA Compliance professionals?
RIA Compliance professionals often encounter the challenge of keeping up with evolving regulatory requirements and ensuring that firm policies are continuously updated to reflect these changes. Another common challenge is maintaining thorough documentation and conducting regular internal audits to prevent compliance breaches. In addition, compliance officers frequently assist with employee training and coordinate with advisors, legal counsel, and regulators to address complex issues. Successfully navigating these challenges requires adaptability, ongoing learning, and clear communication across departments.
More about Ria Compliance jobs
What cities are hiring for Ria Compliance jobs? Cities with the most Ria Compliance job openings:
What are the most commonly searched types of Ria Compliance jobs? The most popular types of Ria Compliance jobs are:
What states have the most Ria Compliance jobs? States with the most job openings for Ria Compliance jobs include:
What job categories do people searching Ria Compliance jobs look for? The top searched job categories for Ria Compliance jobs are:
Chief Compliance Officer -- Private Equity RIA Growth (Dallas)
Dallas, TX • On-site
Full-time
Re-posted 5 days ago
Job description
Tyree & D'Angelo Partners, a leading private equity investment firm based in Dallas, is looking for a Chief Compliance Officer. The CCO will oversee the regulatory compliance for a rapidly growing Registered Investment Advisor (RIA), engaging with the SEC and ensuring comprehensive compliance measures are in place.
The ideal candidate should possess deep RIA compliance experience and a strategic mindset essential for supporting multi-entity growth. A strong in-person presence in Dallas is required.
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