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Trainee Chief Compliance Officer Ria Jobs (NOW HIRING)

P2P

Chief Compliance Officer

Stamford, CT · On-site

$175 - $225/hr

Reporting to the Chief Legal Officer, the CCO is the firm's senior compliance authority ... Design, implement, and maintain a comprehensive compliance program covering RIA, B/D, and 40 Act ...

Storm2

Chief Compliance Officer

Dallas, TX · On-site

⚡ Chief Compliance Officer 💼 Institutional Broker Dealer & Clearing 💲 $250,000 to $350,000 + Bonus + Equity 🌎 Dallas, Texas A regulated financial services firm operating across ...

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 ...

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 ...

Eagle Bancorp, Inc.

Chief Compliance Officer

Bethesda, MD · On-site

$176.97 - $303.37/hr

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

As of Aug 28, 2026, the average yearly pay for trainee 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 does a trainee chief compliance officer RIA do?

A Trainee Chief Compliance Officer at Ria assists in managing the company’s compliance with legal and regulatory requirements, especially in areas like anti-money laundering and financial regulations. The role involves learning how to develop, implement, and monitor compliance programs, policies, and procedures. Trainees work under the supervision of senior compliance officers, gaining hands-on experience with audits, risk assessments, and regulatory reporting. They also stay updated on changes in laws and help ensure the company meets all relevant standards.

What are the key skills and qualifications needed to thrive as a trainee chief compliance officer RIA?

To thrive as a Trainee Chief Compliance Officer at Ria, you need a solid understanding of regulatory compliance, risk management principles, and financial industry standards, often supported by a degree in law, finance, or a related field. Familiarity with compliance management systems, anti-money laundering (AML) software, and relevant certifications such as CAMS are typically beneficial. Strong analytical thinking, attention to detail, and effective communication skills help in interpreting regulations and fostering a compliance culture across teams. These competencies are crucial for ensuring regulatory adherence, minimizing financial risk, and maintaining the organization's reputation.

What are some typical challenges faced by a trainee chief compliance officer RIA, and how can they be addressed?

As a Trainee Chief Compliance Officer at Ria, you'll often encounter challenges such as keeping up with evolving global regulations and ensuring consistent compliance across different regions. Navigating complex anti-money laundering (AML) requirements and facilitating clear communication between legal, operational, and business teams are also common hurdles. Addressing these challenges requires proactive learning, strong attention to detail, and effective collaboration with cross-functional teams. Regular training and leveraging mentorship from experienced compliance professionals can help you build confidence and expertise in the role.

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Trainee Chief Compliance Officer Ria jobs near you

Chief Compliance Officer

Dallas, TX • On-site

InforCapital, partnership
See more jobs at InforCapital, partnershipexternal

$150 - $200/hr

Other

Re-posted 21 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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