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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 ...

REQ Solutions

Chief Compliance Officer

Manhattan, NY · Hybrid

$280K - $330K/yr

Chief Compliance Officer Location: New York City | Hybrid role - 2-3 day onsite Direct Reports: Chief BSA Officer, Chief AML Officer, Chief of Staff and all supporting staff Full-time Salary Range:

Procyon

Chief Compliance Officer

Shelton, CT

Chief Compliance Officer (CCO)/ General Counsel (GC)HYBRID ROLE Procyon is a vibrant and growing wealth management platform comprised of a Registered Investment Advisor (RIA), Benefits, Tax and Risk ...

Day Spring

Chief Compliance Officer

Louisville, KY

The Chief Compliance Officer supervises the Billing & Occupancy Manager, Medication Coordinator, Health Data Coordinator, and IR & Medical Records Coordinator. The Chief Compliance Officer ...

Eagle Bancorp, Inc.

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 ...

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 ...

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$98.9K

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

As of Jun 17, 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

Chief Compliance Officer

Caldwell Sutter Capital, Inc.

Sausalito, CA

$175K - $325K/yr

Full-time

Posted 26 days ago

Job description

Overview

Compensation:$175,000 – $325,000+ total compensation, depending on experience, licensing, and scope of responsibility

Chief Compliance Officer
Caldwell Sutter Capital

Location: Sausalito, CA (Preferred) | Hybrid / Remote Considered

Compensation:$175,000 – $325,000+ total compensation, depending on experience, licensing, and scope of responsibility

About Caldwell Sutter Capital

Caldwell Sutter Capital is a growing, dually registered financial services firm operating as both a FINRA regulated broker-dealer and an SEC registered investment advisor. As part of our continued growth, we are separating the Chief Compliance Officer and Chief Financial Officer roles and are seeking an experienced Chief Compliance Officer to lead our compliance function.

The firm maintains an established compliance program supported by executive leadership and external resources. We are seeking a CCO who will retain full accountability for the program while ensuring it continues to scale effectively with the firm.

Position Overview

The Chief Compliance Officer will oversee compliance for both the broker-dealer and the RIA, ensuring ongoing adherence to SEC, FINRA, and applicable state regulations. While certain compliance activities are supported by external service providers, this role maintains overall responsibility for oversight, review, and completion of all compliance obligations.

This position is well suited for a seasoned compliance professional who is comfortable balancing hands-on execution with strategic leadership and continuous improvement.

Key Responsibilities
  • Serve as Chief Compliance Officer for both the broker-dealer and registered investment advisor
  • Maintain overall responsibility for the firm’s SEC and FINRA compliance programs
  • Ensure all compliance-related tasks and regulatory obligations are completed accurately and on time, including those supported by external resources
  • Oversee compliance policies, procedures, and internal controls, and recommend enhancements as appropriate
  • Act as primary liaison with FINRA, SEC, and state regulators
  • Lead and manage regulatory examinations, audits, and inquiries
  • Oversee regulatory filings, disclosures, and reporting obligations
  • Monitor regulatory developments and advise executive leadership on implications for the firm
  • Provide compliance guidance in support of business initiatives and growth
  • Deliver firm-wide compliance training and education
  • Oversee licensing, registrations, and continuing education requirements
  • Coordinate with external advisors and service providers as needed
Qualifications & Experience
  • 5–15+ years of compliance experience within a broker-dealer and/or RIA
  • Prior experience as a Chief Compliance Officer or senior compliance leader strongly preferred
  • Strong working knowledge of SEC and FINRA regulatory frameworks
  • Required FINRA licenses (or ability to obtain promptly):
  • Series 7 – required
  • Series 24 – required
  • Series 66 or 65 preferred
  • Demonstrated experience managing regulatory examinations
  • Strong organizational skills, attention to detail, and regulatory judgment
  • Ability to work effectively with executive leadership and external partners
  • Practical, risk-based approach to compliance
Compensation & Benefits
  • Base Salary Range:$160,000 – $300,000+
  • Total Compensation Potential:$175,000 – $325,000+, including:
  • Annual bonus and/or discretionary performance incentives
  • Potential long-term incentives or profit participation for senior candidates
  • Comprehensive benefits package
  • Support for continuing education and licensing
  • Flexible work arrangements for the right candidate
Location & Work Style
  • Sausalito, CA (in-person preferred)
  • Hybrid or remote arrangements may be considered for highly qualified candidates with relevant dual-registration experience
Why Join Caldwell Sutter Capital
  • Established compliance infrastructure with executive support
  • Clear accountability and authority for the CCO role
  • Balance of strategic leadership and practical execution
  • Competitive, flexible compensation aligned with experience
  • Professional, collaborative culture focused on integrity and growth
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