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Temporary Chief Compliance Officer Ria Jobs (NOW HIRING)

PeopleFluent

Chief Compliance Officer

Boston, MA · On-site

We are seeking a Chief Compliance Officer who can provide advisory oversight in all facets of our ... The ideal candidate will have extensive knowledge of today's compliance environment for RIA's and ...

PeopleFluent

Chief Compliance Officer

Boston, MA

We are seeking a Chief Compliance Officer who can provide advisory oversight in all facets of our ... The ideal candidate will have extensive knowledge of today's compliance environment for RIA's and ...

EagleBank

Chief Compliance Officer

Bethesda, MD · Hybrid

$176K - $303K/yr

The Chief Compliance Officer also serves as the Bank's Privacy Officer, CRA Compliance Officer, Reg O Officer and is a key member of the Ethics Office. The Chief Compliance Officer partners closely ...

Banking

Deputy Chief Compliance Officer

New York, NY

Reporting to the Chief Compliance Officer, the Deputy Chief Compliance Officer is the independent compliance partner to multiple Business Divisions and is responsible for ensuring that the Compliance ...

EagleBank

Chief Compliance Officer

Bethesda, MD · On-site

$176K - $303K/yr

The Chief Compliance Officer also serves as the Bank's Privacy Officer, CRA Compliance Officer, Reg O Officer and is a key member of the Ethics Office. The Chief Compliance Officer partners closely ...

Blue Ridge Wealth

RIA Compliance Officer

Knoxville, TN · On-site

$80K - $100K/yr

... Chief Compliance Officer, but our intention is to hire someone who will be ready to graduate into ... Preferred: 2-5 years of experience in compliance, legal, or regulatory roles within an RIA, broker ...

JBAndrews

Chief Compliance Officer

Phoenix, AZ · Remote

$310K - $390K/yr

Chief Compliance Officer Location: Remote (USA) | Occasional travel to corporate leadership sites Compensation: Executive-level package Range : $310k USD to $390k base + bonus + long-term equity ...

Howard

Chief Compliance Officer

Wyatt, WV

The Chief Compliance Officer requires extensive experience in Compliance to effectively promote a culture of integrity, advise leadership , and navigate complex University operations. The ...

inlandgroup

Chief Compliance Officer

Oak Brook, IL · On-site

The Head of Compliance is responsible for designing, implementing, and overseeing the firm ... This includes, but is not limited to focus on the RIA, sales, private placements, and SEC ...

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Temporary Chief Compliance Officer Ria information

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$31.5K

$98.9K

$207.5K

How much do temporary chief compliance officer ria jobs pay per year?

As of Jun 12, 2026, the average yearly pay for temporary chief compliance officer ria 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 are the key skills and qualifications needed to thrive as a Temporary Chief Compliance Officer at Ria, and why are they important?

To thrive as a Temporary Chief Compliance Officer at Ria, you need extensive knowledge of financial regulations, risk management, and compliance frameworks, typically supported by a relevant degree and industry certifications such as CAMS or CRCM. Familiarity with compliance management systems, AML (anti-money laundering) software, and regulatory reporting tools is essential. Strong leadership, analytical thinking, and excellent communication skills are crucial for effectively guiding teams and interacting with regulators. These skills and qualities ensure the organization meets legal obligations, mitigates risks, and maintains a strong reputation in a highly regulated industry.

What does a Temporary Chief Compliance Officer do at Ria?

A Temporary Chief Compliance Officer (CCO) at Ria is responsible for overseeing and managing the company’s compliance with regulatory requirements and internal policies, particularly during transitional periods or leadership changes. This role involves ensuring that Ria’s operations meet local and international laws, such as anti-money laundering (AML) and financial regulations, and guiding staff on compliance matters. The Temporary CCO may also update or implement compliance programs, conduct risk assessments, and communicate with regulatory agencies as needed. Their goal is to maintain Ria’s strong reputation and avoid legal or regulatory penalties during their tenure.

What is the difference between Temporary Chief Compliance Officer Ria vs Compliance Analyst?

AspectTemporary Chief Compliance Officer RiaCompliance Analyst
CredentialsTypically requires advanced certifications like CCEP, CRC, or similar, along with extensive compliance experienceOften holds a bachelor’s degree in law, finance, or related fields; certifications like CCSP or CCEP are common but less advanced
Work EnvironmentSenior leadership setting, overseeing compliance programs, policy development, and risk managementOperational role, conducting audits, monitoring compliance, and supporting compliance initiatives
Employer & Industry UsageUsed in financial services, healthcare, and large corporations for strategic compliance leadershipCommon in various industries for day-to-day compliance monitoring and reporting

The Temporary Chief Compliance Officer Ria holds a senior leadership role focused on strategic compliance management, requiring advanced certifications and extensive experience. In contrast, a Compliance Analyst performs more operational tasks, supporting compliance functions with less seniority. Both roles are essential but differ significantly in scope, responsibilities, and required credentials.

What are the main challenges faced by a Temporary Chief Compliance Officer at Ria, and how can candidates prepare for them?

A Temporary Chief Compliance Officer at Ria often faces the challenge of quickly familiarizing themselves with the company’s existing compliance framework, regulatory obligations, and internal processes. Because the role is interim, there’s a strong expectation to swiftly assess risk areas, maintain regulatory relationships, and ensure seamless compliance operations without long onboarding periods. Candidates can prepare by staying current on financial regulations relevant to money transfer services, brushing up on Ria’s past regulatory filings, and developing strong communication skills to coordinate effectively with legal, audit, and operations teams. Adaptability and the ability to make informed decisions under tight deadlines are key to succeeding in this role.
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Temporary Chief Compliance Officer Ria jobs near you

Chief Compliance Officer

Tyree and D'Angelo Partners

Dallas, TX • On-site

Full-time

Posted 9 days ago

Job description

Position Title: Chief Compliance Officer
Reporting To: CEO
Location: Dallas, Texas (in-person strongly preferred)
Company: TDP Confidential Portfolio Company
Private Equity Firm Overview
Tyree & D'Angelo Partners ("TDP") is a private equity investment firm with offices in Chicago and Dallas that makes control ownership investments in, and partners with, lower middle market businesses with the goal of creating meaningful value for all involved. TDP is currently investing out of its third fund and has managed and created over $3 billion of capital and company enterprise value. TDP has significant experience investing in financial, business, and consumer service businesses and has completed over 2,000 investment partnerships. Please visit www.TDPfund.com for more information.
Confidential Portfolio Company Overview
TDP has invested in a confidential portfolio company in the wealth management industry. The Company is a rapidly growing Registered Investment Advisor ("RIA"), focused primarily on delivering fee-based comprehensive wealth management services to high net worth and mass affluent customers. The Company is based in Dallas and forms long-term partnerships with leading independent RIAs and advisory teams across the US.
The Company's mission is to improve the lives of its advisors by helping them achieve their personal, professional, and financial goals. It does so by creating customized plans to deliver tailored support and resources that ultimately result in the industry-leading advisor satisfaction, customer service, and organic growth. Areas of support include compliance, recruiting, HR, accounting, finance, advisor growth, advisor ownership, and M&A resources.
Advisors are aligned through long-term economic incentives that deliver the most value over time with the lowest risk. The Company's leadership team purposefully seeks highly experienced executives with a proven track record of growing advisors, customers, and cash flows.
Position Overview
We are currently seeking a hands-on Chief Compliance Officer to join our Confidential Portfolio Company. This leader will oversee the firm's regulatory compliance program, ensure compliance accuracy, regulatory adherence, and operational scalability across the Company, which is rapidly growing. The ideal candidate brings deep experience in RIA compliance, combined with the strategic mindset to support a multi-entity growth strategy.
Job Responsibilities
Build a best-in-class compliance infrastructure (including scalable teams, processes, and systems) for a fast-growing, multi-practice RIA with industry-leading organic and M&A growth.
Foundational & Regulatory
  • Serve as primary SEC liaison, managing all examinations, inquiries, and regulatory correspondence.
  • Own the Form ADV process across all RIA entities and acquired practices.
  • Monitor evolving SEC rules (Marketing Rule, Reg BI, custody) and translate them into firm policy rapidly.
  • Maintain the firm's fiduciary framework across every practice and service line.
  • Design and maintain a centralized, scalable WSP framework with a governance calendar tied to regulatory changes and M&A activity.

Scalable Infrastructure & M&A Integration
  • Lead selection and optimization of the compliance tech stack covering personal trading, surveillance, archiving, and reporting.
  • Build automated surveillance and exception reporting workflows that scale with firm growth.
  • Develop a repeatable M&A compliance due diligence playbook and post-close integration framework.
  • Recruit and develop a tiered compliance team with a staffing model that balances centralized oversight with practice-level support.
  • Build a compliance culture that positions the function as a business enabler.

Risk Management & Ongoing Oversight
  • Conduct annual firm-wide risk assessments by practice, service line, and regulatory exposure.
  • Oversee portfolio surveillance for suitability, fee billing accuracy, and best execution across custodians.
  • Manage conflicts of interest disclosures and mitigation across compensation structures and affiliated relationships.
  • Maintain a vendor due diligence program covering all material third-party relationships.

Reporting, Culture & Strategic Partnership
  • Deliver regular compliance reporting to firm leadership including risk dashboards, exam updates, and incident logs.
  • Design and deliver role-based annual compliance training with attestation across all practices.
  • Partner with M&A, finance, HR, and technology to embed compliance early in all growth initiatives.
  • Position the firm's compliance infrastructure as a competitive advantage in advisor recruiting and acquisitions.

Qualifications
  • 10+ years of compliance experience, with meaningful time at an SEC-registered RIA or in an RIA-focused regulatory/consulting role
    • Experience interfacing directly with the SEC, whether through routine examinations, deficiency responses, or ongoing regulatory dialogue.
    • Strong working knowledge of Form ADV preparation, including multi-entity filings and material change amendments triggered by acquisitions.
  • Demonstrated experience building or significantly scaling a compliance function within a fast-growing and/or multi-practice RIA environment, including hands-on experience with M&A compliance integration, including due diligence and post-close onboarding of acquired practices.
  • Proficiency with compliance technology platforms and a track record of leading systems implementations.
  • Excellent leadership and a builder mentality - comfortable with ambiguity, able to create structure where little exists previously, and energized by a fast-moving environment.
  • JD, MBA, or equivalent advanced degree preferred but not required.
  • IACCP designation strongly preferred.
  • Series 65 or equivalent required

Compensation
Highly competitive compensation consisting of base salary, an annual performance bonus, and equity ownership.

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