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Ria Compliance Jobs (NOW HIRING)

Altruist

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 ...

Altruist

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 ...

Altruist

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 ...

Altruist

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 ...

Altruist

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 ...

Altruist

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 ...

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Ria Compliance information

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$31.5K

$98.9K

$207.5K

How much do ria compliance jobs pay per year?

As of Jul 31, 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 job?

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, and why are they important?

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:
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Ria Compliance jobs near you
Infographic showing various Ria Compliance job openings in the United States as of July 2026, with employment types broken down into 1% As Needed, 82% Full Time, 12% Part Time, and 5% Contract. Highlights an 94% Physical, 2% Hybrid, and 4% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Chief Compliance Officer

InforCapital, partnership

Dallas, TX • On-site

$150 - $200/hr

Other

Posted 23 days ago

Job description

# Chief Compliance OfficerTyree & D'Angelo Partnersc\_suitePrivate EquityOn-siteLocationDallas, United StatesDate PostedJune 5, 2026Stay ahead of the marketGet instant notifications when new job openings matching "Private Equity / c\_suite jobs in Dallas, United States" are published.## About This RoleTyree & D'Angelo Partners (TDP), a private equity investment firm with offices in Chicago and Dallas, is seeking a Chief Compliance Officer for one of its portfolio companies in the wealth management space. TDP invests in lower middle market businesses and has managed over $3 billion of enterprise value across more than 2,000 investment partnerships. 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, monitoring evolving SEC rules, and building a scalable compliance infrastructure. Responsibilities include overseeing all aspects of RIA compliance during a period of active M&A growth. The role requires deep experience in RIA compliance combined with the strategic mindset to support a multi-entity growth strategy. In-person presence in Dallas is strongly preferred.Apply for this Position #J-18808-Ljbffr

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