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Vice President Ria Compliance Jobs (NOW HIRING)

Osaic

Compliance Analyst - IA Oversight

La Vista, NE · Hybrid

$65K - $69K/yr

Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures * Support advisors by providing guidance on RIA policy and procedures questions * Execute desktop ...

Osaic

Compliance Analyst - IA Oversight

Atlanta, GA · Hybrid

$65K - $69K/yr

Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures * Support advisors by providing guidance on RIA policy and procedures questions * Execute desktop ...

Osaic

Compliance Analyst - IA Oversight

Petersburg, VA · Hybrid

$65K - $69K/yr

Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures * Support advisors by providing guidance on RIA policy and procedures questions * Execute desktop ...

Osaic

Compliance Analyst - IA Oversight

Scottsdale, AZ · Hybrid

$65K - $69K/yr

Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures * Support advisors by providing guidance on RIA policy and procedures questions * Execute desktop ...

Osaic

Compliance Analyst - IA Oversight

Atlanta, GA · Hybrid

$65K - $69K/yr

... RIA Compliance SVP. This Investment Advisory Compliance Analyst is involved on a day-to-day basis in interpreting and applying compliance policies and procedures to business practices. Education ...

Citizens, Inc.

VP, Compliance

Austin, TX · On-site

$200 - $250/hr

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 ...

Citizens, Inc.

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 ...

Ionis

Vice President, Compliance

Carlsbad, CA · On-site +1

$129K - $174K/yr

VICE PRESIDENT, COMPLIANCE SUMMARY The Vice President, Compliance is the senior leader responsible for the strategy, execution, and effectiveness of Ionis' corporate compliance program. Reporting to ...

Ionis Pharmaceuticals

Vice President, Compliance

Carlsbad, CA · On-site +1

$129K - $174K/yr

VICE PRESIDENT, COMPLIANCE SUMMARY The Vice President, Compliance is the senior leader responsible for the strategy, execution, and effectiveness of Ionis' corporate compliance program. Reporting to ...

Integritymarketing

Vice President, Sales

Austin, TX · On-site

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 ...

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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 Sep 8, 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 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 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 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 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?

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What states have the most Vice President Ria Compliance jobs?

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

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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 August 2026, with employment types broken down into 1% As Needed, 83% Full Time, 12% Part Time, and 4% Contract. Highlights an 93% Physical, 2% Hybrid, and 5% Remote job distribution, with an average salary of $148,042 per year, or $71.2 per hour.

Compliance Analyst - IA Oversight

Osaic

La Vista, NE • Hybrid

$65K - $69K/yr

Full-time

Medical, Dental, Vision, Retirement

Posted 18 days ago

Osaic rating

8.1

Company rating: 8.1 out of 10

Based on 12 frontline employees who took The Breakroom Quiz

Job description

Current Employees and Contractors Apply HereOsaic Careers

Compliance Opportunity in Financial Services

Compliance Analyst - IA Oversight

Location(s):

Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339

La Vista: 12325 Port Grace Blvd, La Vista, NE 68128

Oakdale: 7755 3rd St. N, Oakdale, MN 55128

Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

Role Type: Full-time

Salary: $65k - $69k per year + annual performance-based bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page:Osaic Benefits.

Summary:

The Investment Advisory Compliance Analyst will be involved in a variety of compliance functions including monitoring & testing, risk assessment, training, remediation and reporting of compliance issues within the RIA firms under direction of the RIA Compliance SVP. This Investment Advisory Compliance Analyst is involved on a day-to-day basis in interpreting and applying compliance policies and procedures to business practices.

Education Requirements:

  • Bachelor's Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered

Responsibilities:

  • Support the existing Investment Advisory Compliance surveillance program
  • Conduct risk assessments and testing of IA compliance programs and Financial Planning
  • Perform Monitoring & Surveillance over business processes and controls
  • Analyze current IA Compliance functions and suggest enhancements and standardization, where appropriate.
  • Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements
  • Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures
  • Support advisors by providing guidance on RIA policy and procedures questions
  • Execute desktop procedures for RIA surveillance and other IAR related activities
  • All other duties as assigned

Basic Requirements:

  • Minimum of two years of relevant work experience with a broker/dealer, registered investment adviser, regulatory agency, or similar financial institution.
  • Excellent verbal and written communication skills.
  • Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook).
  • Strong abilities in analytical thinking, problem solving, research, and time management.

Preferred Requirements:

  • FINRA Series 7, 24 66 or 63/65) a plus.
  • Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933.
  • Experience in monitoring, testing, and conducting risk assessments of investment advisory compliance activities.
Current Employees and Contractors Apply Here

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About Osaic

Sourced by ZipRecruiter

Industry

Finance and insurance

Company size

1,001 - 5,000 Employees

Headquarters location

Phoenix, AZ, US

Year founded

2016

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