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Vice President Ria Compliance Jobs (NOW HIRING)

Integritymarketing

Vice President, Sales

Austin, TX

The Broker-Dealer, Lion Street Financial, LLC and RIA, Lion Street Advisors, LLC are based in ... Depth of knowledge and understanding of life products, planning concepts, and compliance standards ...

Mercer Advisors

VP, Privacy

Denver, CO · On-site

Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... Regulatory Compliance: Responsible for compliance with global privacy laws (e.g., SEC Regulation ...

Mercer Advisors

VP, Privacy

Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... Responsible for compliance with global privacy laws (e.g., SEC Regulation S-P, GLBA, CCPA/CPRA ...

Advisors Asset Management

Regional Vice President Alternative Investments Products The Advisors Asset Management (AAM ... Maintain and expand financial advisor relationships, especially in the RIA, wirehouse and private ...

Beam Therapeutics

Vice President, Compliance

Cambridge, MA

$137K - $184K/yr

The Vice President, Compliance is a strategic leader responsible for designing, implementing, and continuously improving the company's Corporate Compliance Program to oversee promotional materials ...

Beam Therapeutics

Vice President, Compliance

Cambridge, MA · On-site

$137K - $184K/yr

The Vice President, Compliance is a strategic leader responsible for designing, implementing, and continuously improving the company's Corporate Compliance Program to oversee promotional materials ...

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Vice President Ria Compliance information

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$64K

$148K

$234K

How much do vice president ria compliance jobs pay per year?

As of Jul 21, 2026, the average yearly pay for vice president ria compliance in the United States is $148,042.00, according to ZipRecruiter salary data. Most workers in this role earn between $126,000.00 and $169,000.00 per year, depending on experience, location, and employer.

What are some typical challenges faced by a Vice President of Ria Compliance in maintaining regulatory standards across multiple jurisdictions?

A Vice President of Ria Compliance often encounters the complex challenge of ensuring that policies and procedures align with varying regulatory requirements across different regions. This involves staying updated on rapidly changing laws, coordinating with legal teams, and training staff to implement compliance measures consistently. Additionally, balancing business objectives with strict adherence to compliance standards can require careful negotiation and strong communication skills. Effective collaboration with technology, operations, and risk management teams is essential to streamline compliance processes and maintain a robust control environment.

What is the difference between Vice President Ria Compliance vs Ria Compliance Manager?

AspectVice President Ria ComplianceRia Compliance Manager
Required CredentialsAdvanced degrees, certifications like CAMS or CRCM, extensive industry experienceRelevant certifications, bachelor’s degree, compliance or legal experience
Work EnvironmentStrategic leadership, executive decision-making, policy developmentOperational oversight, team management, daily compliance activities
Employer & Industry UsageFinancial institutions, fintech companies, regulatory agenciesMoney transfer companies, financial services firms, Ria-specific operations

The Vice President Ria Compliance typically holds a senior leadership role focused on strategic compliance initiatives, while the Ria Compliance Manager handles day-to-day compliance operations. Both roles require relevant certifications and industry experience, but the VP position emphasizes strategic planning and policy development, whereas the Manager focuses on operational execution.

What are the key skills and qualifications needed to thrive as a Vice President Ria Compliance, and why are they important?

To thrive as a Vice President Ria Compliance, you need deep knowledge of SEC and FINRA regulations, investment advisory compliance experience, and typically a relevant degree such as in finance, law, or business. Familiarity with compliance management systems, regulatory reporting tools, and certifications like the Investment Adviser Certified Compliance Professional (IACCP) are highly valued. Strong leadership, critical thinking, and communication skills enable effective oversight, policy development, and collaboration across departments. These competencies are crucial to ensure regulatory adherence, mitigate risk, and uphold the firm's reputation in a highly regulated industry.

What does a Vice President of RIA Compliance do?

A Vice President of RIA (Registered Investment Adviser) Compliance is responsible for overseeing and managing compliance programs within an investment advisory firm. This role ensures that the firm operates in accordance with SEC and other regulatory requirements, develops internal policies and procedures, and conducts regular audits to identify and address potential compliance risks. The VP of RIA Compliance also trains staff on regulatory changes and acts as the main point of contact for regulatory examinations or inquiries. Their work is crucial for maintaining the firm’s legal and ethical standards while safeguarding clients’ interests.
What cities are hiring for Vice President Ria Compliance jobs? Cities with the most Vice President 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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Vice President Ria Compliance jobs near you
Infographic showing various Vice President Ria Compliance job openings in the United States as of July 2026, with employment types broken down into 100% Full Time. Highlights an 71% In-person, 19% Hybrid, and 10% Remote job distribution, with an average salary of $148,042 per year, or $71.2 per hour.
RIA External Consultant

RIA External Consultant

Jackson National Life Insurance Company

Nashville, TN • On-site

Full-time

Re-posted 11 days ago

Job description

If you are an internal associate, please login to Workday and apply through Jobs Hub.
Job Purpose
The RIA External Consultant is responsible for creating new and managing existing relationships in the Independent Registered Investment Adviser channel to increase Jackson Sales in the given territory. This is accomplished through meetings, seminars, campaigns, and follow up. The RIA External Consultant is responsible for keeping advisers informed of Jackson's rapidly changing product and service/platform enhancements. The territory includes ME, NH, VT, CT, MA and RI. This role can work remotely in the territory or in the Franklin, TN office.
Essential Responsibilities
  • Works closely with the VP, RIA Sales to develop an appropriate business plan to maximize territorial sales.
  • Conducts product and sales training through individual and group training sessions, seminars, workshops, and branch meetings.
  • Strategically plans and manages the deployment of resources to maximize territory sales while being responsible for budget and expenses.
  • Works in conjunction with an Internal Wholesaler to identify and foster leads generated from referrals, campaigns, and territory canvassing, and meeting follow-up.
  • Utilizes Jackson databases to create and maintain adviser profiles and data on sales activity.
  • Utilizes CRM system to communicate effectively with internal partners.
  • Operates in a "hybrid" wholesaling capacity which entails spending up to 25% of time in the field, running "video" virtual meetings, and engaging with Advisors through traditional avenues such as telephone, email, and virtual meetings.

Other Duties
  • Performs other duties and/or projects as assigned.

Knowledge, Skills and Abilities
  • Strong ability to work independently and to communicate clearly and concisely. Ability to create and deliver effective presentations to current and prospective advisers.
  • Thorough knowledge of sales and marketing principles and practices. Expected to maintain knowledge of existing Jackson products, new or enhanced Jackson products, Jackson Marketing Campaigns, and Jackson's RIA Platform capabilities
  • Ability to identify and position Jackson products and services, utilizing financial planning tools and platforms commonly used by independent RIAs.
  • Proven ability to grow a territory as measured by sales, active adviser count, and persistency of business.
  • Strong aptitude for technology, including software applications, e-mail, and database management from remote locations.
  • Excellent prospecting skills.
  • Meet activity requirements.
  • Ability to travel up to 25% of the time.

Qualifications
  • Bachelor's Degree required.
  • 3+ years of sales experience in investments, mutual funds, insurance, or annuities required. 5+ years of experience preferred.
  • Prior annuity or investment external wholesaling experience preferred.
  • FINRA SIE, FINRA Series 6 or 7, FINRA Series 63, State Insurance License required.
  • Additional registrations as necessary due to changes in regulatory requirements .
  • Possesses or is actively pursuing industry designations or advanced degree (CFA, CFP, CIMA, etc.) preferred.

Jackson is proud to be an equal opportunity workplace. The Company subscribes to and endorses federal and state laws and regulations relating to equal employment opportunity for all persons without regard to race, color, religion, gender, age, national origin, legally-recognized disability, marital status, legally-protected medical condition, citizenship, ancestry, height, weight, sexual orientation, veteran status, or any other factor not related to the needs of the job. The Company is committed to a policy of equal opportunity. Company facilities and campuses are tobacco-free environments.

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