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Vice President Ria Compliance Jobs (NOW HIRING)

COMPASS Pathways

Vice President, Compliance

New York, NY · On-site +1

$137K - $184K/yr

The Vice President, Compliance will design and operate the company's Healthcare compliance program. The position will establish policies and procedures appropriate for a Commercial biotech as well as ...

Compass Pathways

Vice President, Compliance

New York, NY · On-site

$137K - $184K/yr

The Vice President, Compliance will design and operate the company's Healthcare compliance program. The position will establish policies and procedures appropriate for a Commercial biotech as well as ...

Vibrant Emotional Health

VP, Compliance Officer

$200K/yr

Job Title: VP, Compliance Officer Department: Executive Leadership Reports to: CEO Location: Remote or Hybrid (if NYC based) Travel: ≥ 25% Salary Range: $200K to 240K* *New hires are typically ...

CrossCountry Mortgage

VP, Compliance

$129K - $173K/yr

The VP, Compliance is responsible for ensuring Compliance programs operate with precision, consistency, and scalability. This role serves as a quality gatekeeper and operational leader, translating ...

INSPYR Solutions

VP Compliance

Carrollton, TX · On-site

$121K - $163K/yr

Title: VP of Compliance Duration: Direct Hire Location: Hybrid Plano, TX Work Requirements: US Citizen, GC Holders or Authorized to Work in the U.S. About the Role: The Vice President of Compliance ...

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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 Jun 9, 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.
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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 May 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.
Regional Vice President, Enterprise Partnerships

Regional Vice President, Enterprise Partnerships

DPL Financial Partners

Louisville, KY • On-site

Full-time

Posted 28 days ago

Job description

Regional Vice President, Enterprise Partnerships (Investments)
Location: Remote / Hybrid
Employment Type: Full-Time
Reports to: SVP, Advisor & Firm Growth
Role Overview
DPL Financial Partners is seeking a senior, externally facing Regional Vice President to lead enterprise relationship development and drive growth across the largest RIAs in the industry. This individual will operate as a strategic investment partner to advisory firms, combining deep investment expertise with a consultative sales approach to accelerate adoption of fee-based annuity solutions.
This is a high-impact, quota-carrying role focused on building C-suite relationships, influencing portfolio construction decisions, and driving large-scale enterprise partnerships.
Key Responsibilities
Enterprise Sales & Relationship Management
  • Own and grow relationships with large RIA firms ($1B-$50B+ AUM) within an assigned territory
  • Develop and execute a targeted business plan to drive membership adoption and product flows
  • Establish credibility as a trusted investment resource to CIOs, Heads of Investment, and Financial Planning leadership
  • Lead complex, multi-stakeholder sales cycles from initial engagement through close and onboarding
  • Drive asset conversion opportunities (e.g., 1035 exchanges, new allocations) into fee-based annuity solutions

Investment-Led Consulting
  • Serve as a subject matter expert on portfolio construction, retirement income strategies, and annuity integration
  • Position annuities within broader investment frameworks (e.g., alternatives, fixed income replacement, income sleeves)
  • Partner with firms to solve for client outcomes: income, downside protection, tax efficiency, and diversification
  • Deliver investment-focused presentations to investment committees and advisor teams

Business Development & Market Presence
  • Proactively source and engage new enterprise opportunities through networking, referrals, and industry presence
  • Represent DPL at industry conferences, events, and executive meetings
  • Identify and capitalize on trends across the RIA and wealth management landscape

Strategic Influence & Leadership
  • Provide field insights to senior leadership on product gaps, competitive dynamics, and advisor needs
  • Contribute to go-to-market strategy, including messaging, segmentation, and enterprise engagement models
  • Mentor and support internal sales team members on advanced sales strategies and investment positioning

Qualifications
Experience
  • 7-12+ years of experience in financial services, asset management, or annuity distribution
  • Proven success in enterprise or institutional sales, particularly within the RIA channel
  • Demonstrated ability to build and close large, complex deals with senior stakeholders
  • Strong background in investments, portfolio construction, or retirement income strategies

Technical & Professional Expertise
  • Deep understanding of:
    • Annuities (RILAs, fixed indexed, advisory solutions)
    • Investment portfolios and asset allocation frameworks
    • Retirement income planning and tax-aware strategies
  • Ability to translate complex investment concepts into clear, compelling client solutions

Licensing & Education
  • Bachelor's degree required (Finance, Economics, or related field preferred)
  • FINRA Series 6/7 and 63 (or ability to obtain)
  • Life & Health Insurance licenses required
  • CFA, CFP, or CAIA designation is a strong plus

Key Attributes
  • Executive presence with the ability to engage C-suite and investment committees
  • Highly self-motivated with a "must win" mentality and ownership mindset
  • Strong communicator with the ability to influence both technical and non-technical audiences
  • Strategic thinker who can operate at both enterprise and tactical levels

Travel
  • Travel required up to 30-40%, focused on client meetings, conferences, and key events

What Success Looks Like
  • Consistent achievement of sales and asset growth targets
  • Expansion of DPL's footprint within top-tier RIA firms
  • Recognition as a go-to investment partner for advisors and home offices
  • Measurable impact on enterprise adoption and long-term revenue growth

Apply