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Vice President Ria Compliance Jobs (NOW HIRING)

Advisor Group

VP, Data Architecture

Scottsdale, AZ · On-site

$200K - $230K/yr

  • Medical

  • Dental

  • Vision

  • Retirement

... IBD) and RIA business lines. The VP will design and scale Osaic's entire data ecosystem, which ... Ensure compliance with FINRA, SEC, Reg BI, and data privacy regulations. Business Alignment

New

Advisor Group

VP, Data Architecture

La Vista, NE · On-site

$200K - $230K/yr

  • Medical

  • Dental

  • Vision

  • Retirement

... IBD) and RIA business lines. The VP will design and scale Osaic's entire data ecosystem, which ... Governance & Compliance * Work closely with the Data Governance Committee to define and enforce ...

New

Advisor Group

VP, Data Architecture

Atlanta, GA · On-site

$200K - $230K/yr

  • Medical

  • Dental

  • Vision

  • Retirement

... IBD) and RIA business lines. The VP will design and scale Osaic's entire data ecosystem, which ... Governance & Compliance * Work closely with the Data Governance Committee to define and enforce ...

New

Advisor Group

VP, Data Architecture

Oakdale, MN · On-site

$200K - $230K/yr

  • Medical

  • Dental

  • Vision

  • Retirement

... IBD) and RIA business lines. The VP will design and scale Osaic's entire data ecosystem, which ... Governance & Compliance * Work closely with the Data Governance Committee to define and enforce ...

New

Advisor Group

VP, Data Architecture

Petersburg, VA · On-site

$200K - $230K/yr

  • Medical

  • Dental

  • Vision

  • Retirement

... IBD) and RIA business lines. The VP will design and scale Osaic's entire data ecosystem, which ... Governance & Compliance * Work closely with the Data Governance Committee to define and enforce ...

New

Advisor Group

VP, Data Architecture

Scottsdale, AZ · On-site

$200K - $230K/yr

  • Medical

  • Dental

  • Vision

  • Retirement

... IBD) and RIA business lines. The VP will design and scale Osaic's entire data ecosystem, which ... Governance & Compliance * Work closely with the Data Governance Committee to define and enforce ...

New

Intuitive

VP Trade Compliance

Peachtree Corners, GA · On-site

$119K - $159K/yr

Primary Function of Position The Vice President of Trade Compliance reports to the SVP Planning and Logistics and is responsible for establishing, governing and enforcing Intuitive's global trade ...

New

Intuitive

VP Trade Compliance

Peachtree Corners, GA

$119K - $159K/yr

Primary Function of Position The Vice President of Trade Compliance reports to the SVP Planning and Logistics and is responsible for establishing, governing and enforcing Intuitive's global trade ...

New

Intuitive

VP Trade Compliance

Sunnyvale, CA · On-site

$147K - $198K/yr

Primary Function of Position The Vice President of Trade Compliance reports to the SVP Planning and Logistics and is responsible for establishing, governing and enforcing Intuitive's global trade ...

Dynata, LLC (Connecticut)

WI · On-site

$200 - $220/hr

The Opportunity Dynata is hiring a VP of Security & Compliance to own and evolve our enterprise security posture at a pivotal moment: we are scaling AI‑driven infrastructure, migrating legacy ...

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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 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.

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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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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, 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.

Vice President of Quality and Compliance

Bethesda Senior Living Communities

Colorado Springs, CO • On-site

$143K - $164K/yr

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted 17 hours ago

Posted today

Job description

POSITION SUMMARY: The Vice President (VP) of Quality and Compliance is responsible for the leadership, oversight, and continuous improvement of Rocky Mountain PACE's (RM PACE) Quality Improvement Program and enterprise-wide Compliance Program. This role ensures adherence to all PACE-specific state and federal requirements including CMS, HCPF, HIPAA, and other regulatory standards. Partners closely with the Interdisciplinary Team (IDT), clinical leadership, and organizational leadership to support high-quality, person-centered care for older adults.
The VP reports directly to the Chief Nursing Officer (CNO) and collaborates with the Executive Leadership Team in strategic planning, regulatory readiness, and organizational performance improvement.
MISSION: Improving lives, Optimizing wellness, Promoting independence
COMPETENCIES:
  • Effective Supervision
  • Balanced Decision Making
  • Strategic Focus
  • Manages Conflict
  • Effective Communication
  • Facilitates Change
  • Problem Solving
  • Quality Focus
  • Personal Credibility
  • Decisiveness

RESPONSIBILITIES AND DUTIES:
ESSENTIAL JOB FUNCTIONS
Compliance Leadership
The VP of Quality and Compliance oversees and manages the RM PACE compliance program to ensure alignment with PACE regulations and all applicable federal and state requirements.
  • Develops, implements, and maintains comprehensive compliance programs across RM PACE with emphasis on PACE program requirements.
  • Ensures organizational adherence to local, state, and federal regulations, including CMS PACE regulations, HCPF requirements, HIPAA, fraud/waste/abuse (FWA) standards, and internal policies.
  • Maintains current knowledge of regulatory updates and communicates changes to leadership and staff.
  • Oversees the development, implementation, and annual review of organizational policies and procedures to ensure regulatory compliance.
  • Develops and leads the Compliance and FWA Training Program, including annual training for the Board of Directors and all employees.
  • Oversees the Compliance Hotline and directs clinical investigations related to potential violations of laws, regulations, policies, or Standards of Conduct. Documents findings and corrective actions and reports outcomes to the CNO and Board of Directors as appropriate.
  • Conducts compliance risk assessments, develops monitoring and auditing work plans, and completes the required CMS PACE and Part D readiness checklists.
  • Recommends and oversees corrective action plans related to identified deficiencies and ensures appropriate reporting to regulatory bodies when required.
  • Oversees timely completion and submission of compliance reporting to CMS, HCPF, and other entities.
  • Provides regular compliance updates and an annual compliance report to the Board of Directors.

Quality Management and PACE Performance Improvement
The VP ensures a robust Quality Improvement (QI) structure that supports safe, effective, person-centered care across RM PACE.
  • In collaboration with the Chief Nursing Officer, Chief Medical Officer, Executive Leadership, Quality Team, and IDT clinical leaders, develops and monitors PACE quality improvement activities.
  • Establishes key quality metrics, benchmarks, and outcome measures required by CMS and State PACE regulations.
  • Oversees Quality Committees and the development, review, and implementation of Quality Plans.
  • Ensures accuracy of quality and regulatory data submitted to State and Federal agencies.
  • Ensures use of evidence-based QI methodologies (including PDSA cycles) to drive performance improvement.
  • Oversees participant and caregiver satisfaction survey processes, reporting, and improvement planning.
  • Leads PACE survey readiness for CMS and State audits or monitoring visits. Oversees Corrective Action Plans and ensures timely follow-up.
  • Ensures timely completion of all licensing and certification renewals.

HIPAA Privacy Oversight
  • Monitors changes in federal privacy laws and updates RM PACE's Privacy Program accordingly.
  • Ensures compliance with all regulations governing the collection, use, maintenance, and disposal of protected health information (PHI).
  • Updates the organizational privacy plan and associated policies and procedures at least annually.

Strategic Leadership and Planning
The VP plays a key role in organizational strategy with specific focus on quality, compliance, and PACE program requirements.
  • Collaborates with the Executive Leadership Team and CNO to develop and maintain the RM PACE Quality and Compliance strategic plan, including annual and multi-year goals.
  • Develops and manages the annual Quality and Compliance Department budget, ensuring alignment with organizational priorities and regulatory requirements.
  • Oversees department expenditures, monitors financial performance, and ensures responsible stewardship of resources.
  • Uses strategic plans to guide decision making, resource allocation, and outcome measurement.
  • Provides quarterly updates to Senior Leadership and the Board of Directors.
  • Demonstrates leadership in organizational meetings, Quality Team meetings, and interdisciplinary settings.
  • Identifies innovative opportunities to enhance participant outcomes, reduce risk, and strengthen regulatory compliance.

Internal & External Partnerships
  • Promotes a culture of quality, compliance, and continuous improvement across RM PACE.
  • Builds collaborative relationships with business line leaders, IDT members, medical staff, and administrative departments.
  • Strengthens relationships with CMS, HCPF, auditors, community partners, contractors, and vendors.
  • Effectively communicates quality and compliance goals, outcomes, and expectations to internal and external stakeholders.

  • Bachelor's Degree required, Master's Degree preferred in healthcare administration, business administration, or related field.
  • 2-5 Years' experience of progressively responsible compliance experience, involving audits, risk management, and/or ethics and privacy programs.
  • 2-5 years' experience in healthcare, especially with the frail, elderly or other disenfranchised populations preferred.
  • Must have excellent written and verbal communication skills and demonstrate the ability to interact clearly and effectively with both internal and external customers.
  • Advanced skills in Microsoft Office, including Word and Excel.
  • Skilled in establishing and maintaining effective working relationships with participants, co-workers, vendors, medical staff, and the public.
  • Skilled in establishing and maintaining effective working relationships with participants, co-workers, vendors, medical staff, and the public.

We strive to provide our employees with a comprehensive and affordable benefits package including Medical and Prescription Drug, Dental, Vision Care, Wellness Program, Telemedicine Program, Flexible Spending Accounts, Health Savings Account, Company Paid Basic Life and Accidental Death & Dismemberment, Company Paid Long-Term Disability, Voluntary Life Insurance, Voluntary Short-Term Disability, Accidental Injury Insurance, Critical Illness, Hospital Indemnity, 403(b) Savings Plan, Legal Shield and IDShield, Employee Assistance Program (EAP), Paid Time-Off plan. Such benefits are based on applicable state law and factors such as pay classification (full-time, part-time, or PRN/casual), job grade and length of service.

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