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Director Ria Financial Services Jobs in Raleigh, NC

Envestnet

Senior Legal Counsel

Raleigh, NC

$135K - $184K/yr

Draft, negotiate, and review financial technology services agreements and complex commercial ... RIA) regulatory matters; and broker-dealer regulation. * Experience advising on emerging technology ...

Envestnet

Senior Legal Counsel

Raleigh, NC · On-site

$135K - $184K/yr

Draft, negotiate, and review financial technology services agreements and complex commercial ... RIA) regulatory matters; and broker-dealer regulation. * Experience advising on emerging technology ...

Kestra Financial

Client Service Associate

Raleigh, NC

$14 - $19.50/hr

... direct control Education and/or Experience * Bachelor's degree in a business-related field preferred * The ideal candidate will have 2+ years of experience in the financial services industry allowing ...

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All JobsRia Financial Services JobsDirector Ria Financial Services JobsDirector Ria Financial Services Jobs in Raleigh, NC

Director Ria Financial Services information

See Raleigh, NC salary details

$56.4K

$108.8K

$162.8K

How much do director ria financial services jobs pay per year?

As of Jun 10, 2026, the average yearly pay for director ria financial services in Raleigh, NC is $108,841.00, according to ZipRecruiter salary data. Most workers in this role earn between $83,100.00 and $130,700.00 per year, depending on experience, location, and employer.

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 popular job titles related to Director Ria Financial Services jobs in Raleigh, NC? For Director Ria Financial Services jobs in Raleigh, NC, the most frequently searched job titles are:
What job categories do people searching Director Ria Financial Services jobs in Raleigh, NC look for? The top searched job categories for Director Ria Financial Services jobs in Raleigh, NC are:
What cities near Raleigh, NC are hiring for Director Ria Financial Services jobs? Cities near Raleigh, NC with the most Director Ria Financial Services job openings:
Director Ria Financial Services jobs near you

Senior Legal Counsel

Envestnet

Raleigh, NC

$135K - $184K/yr

Full-time

Medical, Retirement, PTO

Posted 13 days ago

Job description

Description

Job Location   

The primary work location for this role is Chicago, IL, Berwyn, PA, Raleigh, NC, or Boston, MA.   

About Envestnet  

Envestnet is an adaptive WealthTech company that is redefining the future of wealth management by helping advisors meet the moment with its comprehensive technology, actionable insights, and industry leading support. Backed by over 25 years of experience and approximately $7.0 trillion in platform assets, Envestnet is trusted by over one third of financial advisors across leading banks, wealth managers, brokerages, and RIAs.   

For a deeper look at how Envestnet is shaping the future of financial advice, visit www.envestnet.com.   

The Team You’ll Join  

Envestnet is seeking a Senior Legal Counsel to provide key legal support for RIA, broker-dealer, and alternative investment fund matters.

How You’ll Contribute   

As Senior Legal Counsel, the successful candidate will lead complex transactions and related project management, identify advantageous regulatory structures, and partner with stakeholders across the organization. The role is focused on alternative investment funds, registered investment adviser (RIA) matters, and broker-dealer regulation, and requires comfort operating in a fast-paced environment, advising senior leaders, and providing day-to-day legal guidance across the business—including fluency in fundamental AI concepts, terminology, and capabilities (e.g., how AI systems learn from data and generate predictions).

  • Support registered investment adviser (RIA) legal and regulatory matters, including policies and procedures, filings, examinations, and ongoing compliance guidance in partnership with Legal & Compliance.
  • Advise on alternative investment funds and related securities-law compliance.
  • Advise on broker-dealer regulatory matters and guidance on FINRA and SEC requirements.
  • Draft, negotiate, and review financial technology services agreements and complex commercial transactions.
  • Advise on emerging financial technology matters, including artificial intelligence (AI) potential benefits, limitations, and common applications, privacy and data analytics.
  • Leverage expert knowledge of financial services regulations, privacy and data security
  • Partner with HR and business leaders on employment-related legal issues, including onboarding/offboarding, workplace investigations support, and general employment compliance.
  • Ensures that contract terms and conditions align with the company’s interests and legal and regulatory requirements.
  • Serves as liaison between Legal group and business units, facilitating communication and resolution of legal issues.
  • Advise on and help maintain company policies and procedures (including compliance-related policies) and support training and awareness initiatives.
  • Provide legal support in corporate structuring and mergers and acquisitions
  • As part of the responsibilities for this role, you will understand and readily support Envestnet's established corporate business practices, policies, internal controls and procedures designed to create value or minimize risk
  • Adherence to and application of Envestnet legal, compliance, risk, business continuity and administrative policy within the role and department(s) including the timely completion of training & awareness, affirmations and testing as requested

What You’ll Need to Bring  

  • Juris Doctor from an ABA accredited law school
  • Member in good standing of a state bar
  • Excellent drafting, analytical and project management skills
  • Proven ability to understand business needs and requirements
  • Ability to effectively engage and communicate with all levels of the organization, including senior executive levels

Nice-to-Haves  

  • 9+ years of legal experience drafting and negotiating Fintech SaaS agreements, with a focus on registered investment advisers (RIAs) and broker-dealers.
  • Experience advising on alternative investment funds (including private funds); registered investment adviser (RIA) regulatory matters; and broker-dealer regulation.
  • Experience advising on emerging technology issues, including artificial intelligence (AI), data analytics, and privacy.
  • Mature judgment, critical thinking and decision-making skills
  • Excellent organizational skills with the ability to multi-task

Why You’ll Enjoy Working at Envestnet  

Help shape the future of WealthTech. At Envestnet you’ll gain hands-on experience and collaborate with some of the industry’s brightest minds to deliver meaningful, innovative solutions that make a real difference. 

We value flexibility in how and where work gets done, and we recognize strong performance with meaningful rewards—because your contributions should drive both business success and your own personal growth. If you’re looking for a place where your work has impact, your development is supported, and your contributions are truly valued, Envestnet is where you can build your future.  

The opportunity is now!  

Sponsorship  

This position is not open to candidates requiring visa sponsorship  

Our Investment in You 

At Envestnet, our total rewards philosophy is designed to attract, motivate, and grow exceptional talent. We offer competitive, market-aligned compensation complemented with performance-linked incentives and rewards programs that recognize and reward impact.  

 

We provide a comprehensive suite of benefits - subject to Envestnet’s plan eligibility rules - that support your overall well-being including, medical insurance, paid time off (PTO), 401k company match, paid parental leave, education reimbursement, disability coverage and mental health & wellness support. Our investment in you means supporting you professionally, financially, and personally at every stage of your journey with us.  Please visit our benefits page on our career site to learn more.  

   

Our Commitment to Inclusion & Belonging  

Envestnet is an Equal Opportunity Employer and is committed to creating an inclusive environment for all employees and applicants. We welcome and value individuals of all backgrounds and do not discriminate based on race, color, religion, creed, sex (including pregnancy or related medical conditions), gender identity or expression, sexual orientation, national origin, ancestry, age, disability, genetic information, military or veteran status, citizenship status, or any other status protected by applicable law. We encourage individuals from all backgrounds to apply.  

 

We strive to provide an inclusive application and interview process. If you are a candidate with a disability and require reasonable accommodation, please contact us at  careers@envestnet.com. Please include your full name, the title of the role you are applying for, and the accommodation necessary to assist you with the recruiting process.      

Recruitment Fraud 

At Envestnet, safeguarding the trust and safety of job seekers is a top priority. We are aware that scammers may impersonate Envestnet recruiters or create fake job opportunities to deceive candidates. Review the information on our recruitment fraud awareness page to help you recognize and avoid recruitment fraud. 

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