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Director Ria Firm Jobs in Ohio (NOW HIRING)

VIKA TALENT SOLUTIONS

Tax Supervisor

Dayton, OH · Hybrid

$107K - $141K/yr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

Dayton, OH (Hybrid remote in Moraine, OH 45439) Job Type: Full time Permanent with Direct client ... Set individual goals that support departmental and firm goals. Qualifications: * Bachelor's or ...

Golden-Reserve-LL

CPA Tax Director

Dublin, OH · On-site

$125 - $175/hr

  • Medical

  • Dental

  • Life

  • Retirement

  • PTO

Golden Reserve is a full-service RIA and insurance firm, that built our company trying to not just change the financial industry for the retirees we serve - but for the team of financial ...

Golden Reserve LLC

CPA Tax Director

Dublin, OH

$125K - $175K/yr

  • Medical

  • Dental

  • Life

  • Retirement

  • PTO

Golden Reserve is a full-service RIA and insurance firm, that built our company trying to not just change the financial industry for the retirees we serve - but for the team of financial ...

Golden Reserve

CPA Tax Director

Dublin, OH · On-site

$125K - $175K/yr

  • Medical

  • Dental

  • Life

  • Retirement

  • PTO

Golden Reserve is a full-service RIA and insurance firm, that built our company trying to not just change the financial industry for the retirees we serve - but for the team of financial ...

Focus Financial Partners

Controller

Mayfield Heights, OH · On-site

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

... with direct visibility to the CFO and firm leadership. It is well-suited to an accounting ... Experience in financial services, wealth management, RIA, broker-dealer, or asset management is a ...

Focus Financial Partners

Controller

Mayfield Heights, OH

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

... with direct visibility to the CFO and firm leadership. It is well-suited to an accounting ... Experience in financial services, wealth management, RIA, broker-dealer, or asset management is a ...

Manning & Napier

Relationship Manager

Columbus, OH · On-site

$60K - $85K/yr

  • Medical

  • Dental

  • Vision

  • Retirement

... with RIA, trust company, bank, brokerage, or financial planning firm preferred * Prior direct client relationship or sales experience preferred * Series 7 and 66 required, or targeted within first ...

Manning & Napier

Relationship Manager

Columbus, OH · On-site

$60K - $85K/yr

  • Medical

  • Dental

  • Vision

  • Retirement

... with RIA, trust company, bank, brokerage, or financial planning firm preferred * Prior direct client relationship or sales experience preferred * Series 7 and 66 required, or targeted within first ...

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Showing results 1-20

All JobsRia Firm JobsDirector Ria Firm JobsDirector Ria Firm Jobs in Ohio

Director Ria Firm information

What is the difference between Director Ria Firm vs Financial Advisor?

AspectDirector Ria FirmFinancial Advisor
CredentialsSeries 7, 63, 65/66, and possibly CFP or CFASeries 7, 63, 65/66, CFP or similar certifications
Work EnvironmentLeadership role managing RIA firm operationsClient-facing, providing personalized financial advice
Employer & Industry UsageTypically employed by or managing an RIA firmEmployed by firms or independent, serving individual clients

The main difference is that a Director Ria Firm oversees the firm's operations and compliance, while a Financial Advisor focuses on advising clients on investments and financial planning. Both roles often hold similar certifications, but their responsibilities and work environments differ significantly.

What are the most commonly searched types of Ria Firm jobs in Ohio?

The most popular types of Ria Firm jobs in Ohio are:

What are popular job titles related to Director Ria Firm jobs in Ohio?

For Director Ria Firm jobs in Ohio, the most frequently searched job titles are:

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The top searched job categories for Director Ria Firm jobs in Ohio are:

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Cities in Ohio with the most Director Ria Firm job openings:

Director Ria Firm jobs near you

Investment Compliance Analyst

Stratos Wealth Partners

Beachwood, OH • On-site

$70K - $80K/yr

Full-time

Re-posted 2 days ago

Job description

We are hiring for our Compliance team at Stratos Wealth Partners where we provide a platform of Broker-Dealer and RIA services for our registered reps/advisors. We are looking for an experienced Compliance Analyst to support the Stratos RIA Compliance Program. We are a growing department that offers room to develop and advance skills.
Essential Duties and Responsibilities:
• Provide support to the overall Compliance Program
• Work with Compliance and other team members to strengthen policies including WISP, privacy policy reviews, business continuity and acceptable use policies.
• Work with Compliance Directors to support new compliance initiatives.
• Provide support to the Compliance Testing Program to resolve identified issues and undertake remedial projects as requested.
• Utilize Compliance Software to manage components of the Compliance Program.
• Work with the Directors to properly develop and document updated policies and procedures as new laws, rules and best practices develop.
• Continually work to improve the Stratos Compliance Program by offering suggestions for improvement and collaborating with team members and management to implement solutions.
• Additional Responsibilities
o Respond to incoming Compliance inquiries from investment advisory representatives and other Stratos departmental team members.
o Perform additional projects and tasks in support of the Stratos Compliance program as assigned.
Skills / Key Competencies Required:
• Bachelor's degree
• FINRA SIE, Series 7, 24 and 65/66
• 3-5 years' experience with an investment advisory firm
• Ability to communicate positively and effectively compliance requirements to investment advisory representatives
• Minimal travel required
• Attention to Detail / Data Organization
• Proficient with technology
• Effective communication skills, written and verbal
• Ability to work in a fast-paced, changing environment
• Collaborative mentality; strong team orientation

Apply