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Director Ria Financial Services Jobs in California

Axos Bank

AVP, Financial Consulting

San Diego, CA · On-site

$90K - $98K/yr

... Broker-Dealer and RIA platform. This is a unique opportunity to join a fast-growing asset ... Directed Trading About Axos Born digital-first, Axos delivers financial tools and services that ...

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Director Ria Financial Services information

What is the difference between Director Ria Financial Services vs Compliance Manager Ria Financial Services?

AspectDirector Ria Financial ServicesCompliance Manager Ria Financial Services
CredentialsRelevant financial certifications, leadership experienceCompliance certifications, regulatory knowledge
Work EnvironmentStrategic leadership, executive meetingsRegulatory adherence, risk assessment
Employer & Industry UsageFinancial services, money transfer industryFinancial services, compliance departments

The Director Ria Financial Services oversees strategic operations and business growth, while the Compliance Manager focuses on regulatory adherence and risk management. Both roles require financial industry knowledge, but the Director has broader leadership responsibilities, whereas the Compliance Manager specializes in compliance and risk mitigation within Ria Financial Services.

What are the most commonly searched types of Ria Financial Services jobs in California? The most popular types of Ria Financial Services jobs in California are:
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Director Ria Financial Services jobs near you
Regional Director (RIA & Family Office Group)

Regional Director (RIA & Family Office Group)

Baron Capital

Los Angeles, CA • Hybrid

$150K - $250K/yr

Full-time

This job post has expired today. Applications are no longer accepted.

Job description

Regional Director (RIA & Family Office Group)

The Regional Director is a driven and committed sales professional. The Regional Director will be responsible for cultivating and maintaining relationships within the RIA channel as well as Bank Trust organizations and Single and Multi-Family Offices, delivering our growth equity strategies to these distribution channels.

The Regional Director should be able to provide value-added support in a consultative manner according to individual advisor needs for our RIA & Family Office West territory. This includes the ability to have in-depth conversations about our products and the investment environment and experience in the sales approach appropriate and specific to these channels. The Regional Director will be charged with all sales and client relationships for the territory and will work with an assigned hybrid wholesaler as a territory partner.

West: This territory includes (subject to change) California, Oregon, Washington, Nevada, Alaska, and Hawaii. Target locations are the San Francisco or Los Angeles Metropolitan areas, as these are the key business hubs and provide the best access to travel throughout the territory.

Key Responsibilities

  • Delivering our investment process and philosophy and demonstrating the uniqueness of each product
  • Demonstrating a high degree of performance and ethics
  • Managing all stages of the sales cycle, from prospecting to discovery to implementation, as well as ongoing management of the relationship once established
  • Working well both as an individual and a member of a team
  • Articulating strategies and how they relate to an individual or firm's overall strategy and investment needs
  • Delivering advanced sales presentations on Baron Capital's portfolios and strategies
  • Must have the ability to travel extensively (up to 75% of the time) with a high degree of accountability
  • Documenting and significant use of Salesforce.com

Qualifications

  • Minimum 3 years external financial services sales experience specific to the RIA channel, with a high degree of demonstrated success
  • Bachelor's degree a MUST, Master's degree and/or CFA a plus
  • Must have Series 7 and 63
  • Existing coverage of a large part of this territory with existing relationships a significant plus
  • Strong knowledge of the financial markets and ability to articulate accordingly

Knowledge and Skills

  • Demonstrated high level of performance and results in a recent/prior and similar financial sales role
  • Ability to capture, increase, and retain market share
  • Extensive & proven relationships with RIAs. Similar relationships with bank trust departments and family offices a plus
  • In-depth industry and product knowledge
  • Strength in building positive and effective internal and external relationships
  • Excellent written and verbal communication skills
  • Management of an assigned territory as your own business
  • Experience developing and implementing sales and marketing business plans
  • Highly accountable and self-motivated

Base Salary

$150,000 - $250,000 USD

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