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Trainee Chief Compliance Officer Ria Jobs (NOW HIRING)

Oanda Corporation

Chief Compliance Officer

New York, NY · On-site

OANDA is looking for a Chief Compliance Officer (CCO) to lead our US compliance strategy and champion a robust culture of integrity. How do we work? As a registered Futures Commission Merchant (FCM ...

Five Star Bank

Chief Compliance Officer

Buffalo, NY · On-site

$160K - $210K/yr

As a key senior leader of a growing and innovative financial institution, the Chief Compliance Officer (CCO) oversees all regulatory compliance and ethics functions for Five Star Bank and its ...

Five Star Bank

Chief Compliance Officer

Warsaw, NY · On-site

$160K - $210K/yr

As a key senior leader of a growing and innovative financial institution, the Chief Compliance Officer (CCO) oversees all regulatory compliance and ethics functions for Five Star Bank and its ...

OpenLoop Health, Inc

Chief Compliance Officer

As Chief Compliance Officer (CCO) , you will define and own our enterprise compliance strategy and operating model. You'll design and scale a risk-based program covering clinical, pharmacy, privacy ...

Socket.dev

Chief Compliance Officer (CCO)

Hoboken, NJ · On-site

$270 - $300/hr

... Chief Compliance Officer who can do more than manage a compliance function -- someone who can ... dealer, RIA, fintech, or crypto-asset business preferred. * Strong working knowledge of the US ...

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Oanda

Chief Compliance Officer

Chicago, IL · On-site +1

OANDA is looking for a Chief Compliance Officer (CCO) to lead our US compliance strategy and champion a robust culture of integrity. How do we work? As a registered Futures Commission Merchant (FCM ...

Five Star Bank

Chief Compliance Officer

Rochester, NY · On-site

$160K - $210K/yr

As a key senior leader of a growing and innovative financial institution, the Chief Compliance Officer (CCO) oversees all regulatory compliance and ethics functions for Five Star Bank and its ...

Zivahh

Chief Compliance Officer

Tukwila, WA · On-site

$150K - $220K/yr

Chief Compliance Officer Location:Tukwila, WA, 98188 What you will be doing: * Provide leadership and vision to the Compliance function of the firm. * Design, implement, and oversee the organization ...

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$98.9K

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

As of Aug 6, 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 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 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 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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Chief Compliance Officer

Oanda Corporation

New York, NY • On-site

Full-time

Re-posted 13 days ago

Job description

Fancy helping to shape the future of FinTech?
We have always been innovators. In 1996 we were the first company to share exchange rate information, free of charge on the internet. Today, we are a world leading online trading group.
Join us to:
  • Help build the future of online trading
  • Be part of a culture driven by integrity and global impact
  • Become part of an award-winning company - check out our full list of awards here

We are only as good as our people. Luckily, our people are the best. Join us!
Are you a bold, seasoned compliance leader looking to make a significant impact in the trading industry?
OANDA is looking for a Chief Compliance Officer (CCO) to lead our US compliance strategy and champion a robust culture of integrity.
How do we work?
As a registered Futures Commission Merchant (FCM) and Retail Foreign Exchange Dealer (RFED) with the CFTC and Forex Dealer Member (FDM) with the NFA, OANDA operates at the highest regulatory standards. In this critical role, you will report directly to the Global Head of Compliance (with a dotted line to the CEO) and serve as the ultimate anchor for our US regulatory, AML, and operational risk management.
This position can be based out of either our Chicago or New York locations.
Responsibilities:
  • Regulatory Liaison & Governance: Serve as the primary point of contact for the NFA and CFTC. You will lead audit readiness, manage regulatory examinations, and represent compliance as a member of the Risk Committee.
  • Strategic Oversight: Plan and execute a comprehensive Compliance and AML strategy that seamlessly aligns with OANDA's commercial goals.
  • Program Ownership: Design, develop, and own our end-to-end Compliance Monitoring Program, policy management, and compliance training initiatives.
  • Team Leadership: Manage, mentor, and develop a dedicated team of three direct compliance and AML professionals.
  • Business Advisory: Act as the subject matter expert, balancing risk and opportunity to provide pragmatic, business-focused guidance on new initiatives, client onboarding, and marketing reviews.

What we are looking for:
  • Experience: 10+ years of relevant regulatory and AML experience within a similar financial services environment, plus 6+ years in a leadership/management position.
  • Education: Bachelor's degree in Finance, Business, Law, or a related discipline.
  • Expertise: Deep, practical knowledge of NFA and CFTC rules, regulations, and interpretive notices.
  • Leadership Style: A "hands-on" leader with gravitas who can seamlessly navigate complex information, drive change management, and communicate effectively with stakeholders across the firm. Collaborative & Compliant: A fast-paced, execution-oriented culture where common-sense business solutions meet strict regulatory excellence.

At OANDA, to help us efficiently process applications, we use AI-driven tools to help source and rank candidates based on professional experience and skills. While these tools provide recommendations, our recruitment process remains human-centric: all final shortlisting and hiring decisions are made by OANDA team. You have the right to request a human review of your application.
OANDA Global Corporation is a diverse and global team with offices around the world. We value the unique skills and experiences each individual brings to OANDA. We are committed to creating and sustaining a collegial work environment in which all individuals are treated with dignity and respect and one which reflects the diversity of the community in which we operate. We provide an inclusive and accessible environment for everyone. Candidates selected for an interview will be contacted directly. If you require accommodation during the recruitment and selection process, please let us know. We will work with you to provide as seamless a recruitment experience as possible.
Learn more about our culture here.
Review OANDA Privacy Policy and learn more about how we treat your personal data and protect your privacy.

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