Day Shift Ria Compliance Jobs (NOW HIRING)

When you join our team-based RIA serving mass-affluent and high-net-worth clients, you'll:

• Manage assigned books, deliver holistic financial plans, and grow relationships using our proven service process and tech stack.
• Service assigned client relationships, helping them achieve goals through proactive planning and reviews.
• Follow firm-defined client service process to deliver consistent, high-touch experiences.
• Develop and implement comprehensive financial plans aligned with goals, risk tolerance, timelines, and lead team execution of strategies.
• Provide ongoing portfolio management per client agreements and firm standards.
• Communicate proactively via regular reviews on performance, markets, and life-event adjustments.
• Grow client relationships by creating value through cross-selling, rollovers, referrals, and new relationships to expand AUM and firm revenue.
• Maintain expertise via continuous learning on regulations, products, and best practices.
• Collaborate with support, compliance, and operations for seamless delivery.
• Document all activity accurately per RIA compliance standards.

Qualifications:

• Required:
  • Minimum 3+ years as a Financial Advisor with proven AUM growth.
  • FINRA Series 65 or 66 license.
  • Experience managing individual client relationships, financial planning, and portfolio implementation.
  • Proficiency with planning tools (e.g., eMoney or RightCapital) and CRM (e.g,. Wealthbox).
• Preferred:
  • Bachelor's degree in Finance, Business, Economics, or a related field.
  • CFP designation or progress toward.
  • RIA/wealth management platform experience.

Key Traits:

• Proactive communicator with professional phone/email etiquette.
• Collaborative team player who thrives in a fast-paced RIA environment while upholding confidentiality.

Sowell Management was established in 2001. From that day forward, we have strived to set our Company apart, both in quality and professionalism.

We are a dynamic and growth-oriented Registered Investment Advisor (RIA) firm dedicated to empowering independent financial advisors. Through our comprehensive platform, resources, and advisor-centric culture, we help advisors transition, grow, and thrive in a fiduciary environment.

Here at Sowell Management, everything we do is centered around our Core Values and our clients:

• We are family. Have each other's back - Put others first - Critique in private.
• Attitude is everything. Don't be a jerk & don't suck. Be enthusiastic, positivity goes both ways.
• Care about what you do. Passion, desire, and drive for excellence - No half-hearted efforts
• Own your commitments. Do what you say. First time, every time.
• Go above and beyond. Teamwork always wins. Help each other out. When it's not your job or after 5.

Sowell Management views each employee as a valued asset in the operation of the business. We strive to make our Company the best possible place to work. Your efforts and team spirit will contribute to helping all of us achieve this goal.

Teamwork is the foundation of Sowell Management's success. All employees are strongly encouraged to share ideas and suggestions to improve the Company's effectiveness and quality of work life. This team effort maximizes the quality of our services, minimizes costs, and allows employees to have satisfaction with their accomplishments.

• Competitive W2 base salary + incentive opportunities tied to AUM growth and onboarding new plans.
• Comprehensive benefits package including health insurance, 401(k) with firm match, and professional development stipend.
• Enterprise tech stack: CRM, financial planning, trading platforms, and portfolio management tools.
• Collaborative, entrepreneur-minded environment with mentorship from experienced advisors and leadership.
• Commitment to work-life balance with reasonable client expectations and office hours.
• Ongoing professional development and support for continuing education and certifications.

Sound like the right place for you? Apply now to join our growing team!