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Vice President Ria Compliance Jobs (NOW HIRING)

VP, Compliance

Austin, TX · On-site

$122K - $164K/yr

Vice President, Compliance Job Type : Full-time, Exempt Reports to : Chief Legal Officer Location : Austin, TX (Corporate Headquarters located in the Domain), or remote with monthly travel to Austin ...

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Vice President, Compliance

Urbandale, IA · On-site +1

$119K - $159K/yr

As a Vice President, Compliance of Revol One Financial, you will have the chance to mold & shape a critical area of Operations, work closely with leadership, work on numerous cross-function projects ...

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 ...

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 ...

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 ...

VP Marketing, Americas

Buena Park, CA · On-site

$210 - $270/hr

EEFT), Ria is a leading expert in cross-border payments, delivering innovative omnichannel ... As the VP of Marketing, you will play a critical role in shaping regional marketing strategies ...

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Vice President Ria Compliance information

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$148K

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

As of Aug 14, 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 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?

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 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:

What states have the most Vice President Ria Compliance jobs?

States with the most job openings for Vice President Ria Compliance jobs include:

Infographic showing various Vice President Ria Compliance job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 84% Full Time, 11% Part Time, and 4% Contract. Highlights an 93% Physical, 3% Hybrid, and 4% Remote job distribution, with an average salary of $148,042 per year, or $71.2 per hour.

VP, Compliance

Citizens, Inc.

Austin, TX • On-site

$122K - $164K/yr

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted 2 days ago

New


Job description

Citizens, Inc. is an insurance holding company serving the life insurance needs of individuals in the United States since 1969 and internationally since 1975. Citizens is a publicly traded company that has been listed on the New York Stock Exchange (NYSE: CIA) since 2002. Through our insurance subsidiaries, we pursue a strategy of offering traditional insurance products in niche markets where we believe we are able to achieve competitive advantages.


THE OPPORTUNITY

Title: Vice President, Compliance

Job Type: Full-time, Exempt

Reports to: Chief Legal Officer

Location: Austin, TX (Corporate Headquarters located in the Domain), or remote with monthly travel to Austin, TX office required

This is a highly visible leadership opportunity with a publicly traded global life insurance company. Reporting directly to the Chief Legal Officer, the Vice President, Compliance will play a critical role in shaping the Company's compliance strategy, strengthening regulatory relationships, and fostering a culture of integrity while partnering closely with executive leadership and the Board of Directors. The Vice President, Compliance is responsible for the strategic design, implementation, oversight, and continuous enhancement of a risk-based enterprise compliance program. The role provides strategic leadership to ensure the Company conducts its business in accordance with applicable federal and state insurance laws and regulations, regulatory expectations, industry standards, and the Company's Code of Conduct and governance framework. The Vice President, Compliance serves as a trusted advisor to executive leadership and the Board, providing independent oversight and objective guidance regarding compliance risks and regulatory matters.

The ideal candidate will bring deep insurance regulatory knowledge with strong business judgment, executive presence, and the ability to foster a culture of ethics, accountability, and compliance throughout the organization.


WHAT YOU WILL GET TO DO

You will provide independent oversight of the Company's compliance risk profile across all aspects of its operations, including insurance products, distribution, underwriting, claims, policy administration, operations, and third-party relationships.

Key Responsibilities include:

  • Enterprise Compliance Leadership. Provide strategic leadership and oversight of the Company's enterprise compliance program, ensuring alignment with business objectives, regulatory requirements, and the Company's values and ethical standards.
  • Compliance Risk Management. Establish and maintain a risk-based compliance framework to identify, assess, monitor, and mitigate compliance risks across all business operations.
  • Regulatory Oversight. Monitor and interpret regulatory developments, advise executive leadership on emerging compliance obligations and risks, and oversee implementation of regulatory changes.
  • Regulatory Examinations and Market Conduct. Maintain productive relationships with state insurance regulators and oversee regulatory and market conduct examinations, inquiries, reporting, and remediation activities.
  • Compliance Governance and Reporting. Provide independent reporting and insights to executive leadership and the Board regarding compliance risks, program effectiveness, significant issues, and regulatory developments.
  • Strategic Business Partnership. Partner with business leaders to support strategic initiatives while ensuring compliance considerations are integrated into decision-making, product development, operations, and distribution activities.
  • Culture, Training and Awareness. Promote a strong culture of integrity, accountability, and ethical conduct through effective policies, training, communication, and leadership engagement.
  • Public Company Governance and Controls. Partner with the Chief Legal Officer, Chief Risk Officer, Chief Financial Officer, and executive leadership team to support the Company's governance, risk management, and control framework, including enterprise risk management, disclosure controls, regulatory reporting, and Board governance activities.
  • Compliance Team Leadership. Lead, develop, and mentor a high-performing compliance department, fostering operational excellence, collaboration, and continuous improvement.

SUCCESS PROFILE

This role is ideally suited for a compliance leader who thrives at both the strategic and operational levels and is excited by the opportunity to influence business decisions in a growing, publicly traded global insurance organization.

Within the first 12-18 months, the VP, Compliance will:

  • Assess and enhance the effectiveness and maturity of the Company's enterprise compliance program.
  • Strengthen compliance risk assessment, monitoring, testing and reporting capabilities.
  • Further integrate compliance considerations into strategic and operational decision-making.
  • Establish trusted relationships with regulators, executive leadership, and the Board.
  • Continue to foster a culture of integrity, accountability, and ethical conduct throughout the organization.

WHAT YOU NEED TO APPLY

  • Bachelor's degree required; Juris Doctor (JD) or other advanced degree preferred.
  • Minimum of 12 years of progressive experience in insurance compliance, legal, risk or regulatory affairs roles.
  • Minimum of 7 years of leadership experience managing enterprise compliance functions within a life insurance, annuity or financial services organization.
  • Experience presenting to executive leadership teams, board committees, and regulators preferred.
  • Deep knowledge of: state insurance laws, market conduct requirements, AML / BSA, consumer protection requirements, insurance distribution compliance, corporate governance principles, privacy and data protection requirements, enterprise compliance frameworks
  • Excellent written and verbal communication skills; Exceptional analytical and problem-solving abilities, with a focus on business-oriented solutions.
  • Ability to lead cross-functional teams to complete entity-level projects.
  • Self-motivated, organized team player with ability to work in a fast-paced environment where you will be both a leader and an individual contributor.
  • Global business acumen; bi-lingual in Spanish, Portuguese or Mandarin a plus.
  • Strong ethical standards and integrity, with a commitment to upholding the company's values.


BENEFITS (the fun stuff)

As an employee of Citizens, we promise you the opportunity to make a meaningful difference in the lives of our customers, communities, and one another. We believe in camaraderie, rewarding work, community involvement and a focus on your well-being.

We take a complete approach to our employees’ wellbeing. Our benefits package includes medical, dental, vision, short-term and long-term disability, AD&D, group term life insurance, and a matching 401k. Our benefits plan allows for Virtual Visits and the ability to use the Employee Assistance Program. Our benefits package includes generous Paid Time Off (PTO) and holidays every year.

At Citizens, our employees and customers are at the heart of everything we do. Our success as a company begins with our team of employees and departments to service our customers. That’s why we strive to create an environment where employees are equipped and challenged to reach their full potential.

Citizens is an equal opportunity employer. We do not discriminate on the basis of race, color, religion, sex, gender identity, national origin, age, disability, or veteran status. We are committed to fostering a diverse and inclusive workplace where every individual is valued, and all qualified applicants are encouraged to apply.