RIA Compliance Officer

Job Description

Job Description

About Blue Ridge Wealth Planners

Blue Ridge Wealth Planners helps retirees and pre-retirees in East Tennessee and beyond lead financially confident lives. We simplify complex financial planning and offer a “Plan for Everything” covering investments, retirement income, insurance, healthcare expense, and legacy strategies. (blueridgewealth.com). Our team thrives on collaboration, authenticity and a genuine commitment to our clients and each other.

 

What you’ll experience in our culture

• You’ll join a team of professionals who value ideas and trust over hierarchy. One review notes the firm “listens to everyone’s ideas before incorporating the best ones.” (Glassdoor)
• You’ll be part of a close-knit environment where client relationships matter. We hire team members who bring empathy, curiosity and integrity.
• You’ll work where personal growth is supported. You’ll be given ownership of the compliance function, with the ability to build and grow the program alongside experienced compliance consultants.
• You’ll join an organization rooted in service and clarity: our mission is to bring confidence to clients, not complexity.
• You’ll collaborate across roles, working with operations, marketing, client service, and wealth planning teams to embed compliance into everyday decisions.

Position Summary

Initially, this position will be that of a Compliance Analyst working directly under the firm’s current outsourced Chief Compliance Officer, but our intention is to hire someone who will be ready to graduate into the role of CCO in six to twelve months. As the CCO you’ll report to the owner and lead compliance matters for both our investment advisory and insurance/annuity business lines. You’ll continue to work with our external compliance consulting team and internal leadership and IARs to build and sustain a culture of compliance that supports our business and clients.

This is a growth-oriented role. Our ideal candidate is someone familiar with investment and insurance compliance who seeks to work in an RIA where they can grow into the role of Chief Compliance Officer. We also expect the CCO to evolve and help develop the entire compliance program as the firm grows.

 

Key Responsibilities

• Maintain and update the compliance manual, code of ethics, supervisory procedures and related documents.
• Run testing, monitoring and documentation processes to ensure firm-wide adherence to applicable investment adviser and insurance regulations.
• Oversee regulatory filings such as Form ADV, Form U4 and state insurance registrations.
• Deliver compliance training tailored for all levels of the firm.
• Monitor regulatory developments (SEC, state insurance regulators, DOL where applicable) and advise business leaders on required actions.
• Identify and assess operational and compliance risks, propose mitigation and implement solutions.
• Work with the business, operations and insurance teams to make compliance practical and aligned with the firm’s values.
• Support growth of the insurance/annuity line—especially fixed annuities—by ensuring regulatory alignment and sound controls.

 

Qualifications

• Preferred: 2–5 years of experience in compliance, legal, or regulatory roles within an RIA, broker-dealer, or insurance company.
• Equivalent experience or technical knowledge will be considered. For example, experience working in the financial services industry in an operations, portfolio management, trading, or client service role may qualify in lieu of the 2–5 years of compliance experience, as would professionals holding a Juris Doctor degree.
• Foundational understanding of investment advisory and insurance operations, with the ability and willingness to develop deeper compliance knowledge through training and mentorship.
• Familiarity with the Investment Advisers Act of 1940 or interest in building expertise in this area.
• Curiosity and initiative to learn about fixed insurance annuities and their regulatory framework.
• Strong organization, communication, and relationship skills.
• Collaborative mindset and readiness to work closely with firm leadership and compliance consultants.

What You’ll Gain

• A meaningful role where you’ll shape the compliance program rather than joining an established large-scale team.
• Direct access to senior leadership with real influence on firm direction.
• A team culture where your voice and experience matter.
• A business that values compliance as part of client service and trust, not just a checkbox.

 

If this role resonates with you and you’re ready to bring your compliance expertise into a values-driven, client-first firm, we’d love to talk.

\nCompany Description

Blue Ridge Wealth Planners is an SEC-registered investment advisor working with thousands of families across the country to holistically plan for retirement which includes considerations for investments, income, taxes, legacy, and healthcare.

Company Description

Blue Ridge Wealth Planners is an SEC-registered investment advisor working with thousands of families across the country to holistically plan for retirement which includes considerations for investments, income, taxes, legacy, and healthcare.