Director of Brokerage and RIA Operations If you know that operational excellence and regulatory ... firm relationships, commission processing, reconciliation, reporting, and operational integrity ...
Quick apply
Director of Brokerage and RIA Operations If you know that operational excellence and regulatory ... firm relationships, commission processing, reconciliation, reporting, and operational integrity ...
Quick apply
Director of Brokerage and RIA Operations If you know that operational excellence and regulatory ... firm relationships, commission processing, reconciliation, reporting, and operational integrity ...
Director of Brokerage and RIA Operations If you know that operational excellence and regulatory ... firm relationships, commission processing, reconciliation, reporting, and operational integrity ...
Quick apply
Director of Brokerage and RIA Operations If you know that operational excellence and regulatory ... firm relationships, commission processing, reconciliation, reporting, and operational integrity ...
Onboarding Specialist Registered Investment Advisory (RIA) Firm Location: Summerlin Department: Onboarding Department (Operations) Reports To: Director of Onboarding Join Our Team We are seeking a ...
Onboarding Specialist Registered Investment Advisory (RIA) Firm Location: Summerlin Department: Onboarding Department (Operations) Reports To: Director of Onboarding Join Our Team We are seeking a ...
Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... The Director, Client Relationship Expansion is a senior field practitioner who delivers Mercer ...
Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... The Director, Client Relationship Expansion is a senior field practitioner who delivers Mercer ...
Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... The Director, Client Relationship Expansion is a senior field practitioner who delivers Mercer ...
Quick apply
Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... The Director, Client Relationship Expansion is a senior field practitioner who delivers Mercer ...
Manhattan, NY ยท On-site
$225K - $275K/yr
MBA highly preferred. * 10+ years of progressive experience in FP&A, including direct executive and ... A Barron's Top 100 RIA Firm, Forbes' America's Top RIA Firm and CNBC Elite Advisor*, NewEdge ...
Manhattan, NY ยท On-site
$225K - $275K/yr
MBA highly preferred. * 10+ years of progressive experience in FP&A, including direct executive and ... A Barron's Top 100 RIA Firm, Forbes' America's Top RIA Firm and CNBC Elite Advisor*, NewEdge ...
The role will support the local Senior Director - Private Wealth Solutions (RIA Distribution), the ... Analyze advisor, firm, and platform-level data to identify growth opportunities, underpenetrated ...
The role will support the local Senior Director - Private Wealth Solutions (RIA Distribution), the ... Analyze advisor, firm, and platform-level data to identify growth opportunities, underpenetrated ...
$225K - $275K/yr
MBA highly preferred. * 10+ years of progressive experience in FP&A, including direct executive and ... A Barron's Top 100 RIA Firm, Forbes' America's Top RIA Firm and CNBC Elite Advisor*, NewEdge ...
$225K - $275K/yr
MBA highly preferred. * 10+ years of progressive experience in FP&A, including direct executive and ... A Barron's Top 100 RIA Firm, Forbes' America's Top RIA Firm and CNBC Elite Advisor*, NewEdge ...
Stamford, CT ยท On-site
$225K - $275K/yr
MBA highly preferred. * 10+ years of progressive experience in FP&A, including direct executive and ... A Barron's Top 100 RIA Firm, Forbes' America's Top RIA Firm and CNBC Elite Advisor*, NewEdge ...
Stamford, CT ยท On-site
$225K - $275K/yr
MBA highly preferred. * 10+ years of progressive experience in FP&A, including direct executive and ... A Barron's Top 100 RIA Firm, Forbes' America's Top RIA Firm and CNBC Elite Advisor*, NewEdge ...
Stamford, CT ยท On-site
$225K - $275K/yr
MBA highly preferred. * 10+ years of progressive experience in FP&A, including direct executive and ... A Barron's Top 100 RIA Firm, Forbes' America's Top RIA Firm and CNBC Elite Advisor*, NewEdge ...
Stamford, CT ยท On-site
$225K - $275K/yr
MBA highly preferred. * 10+ years of progressive experience in FP&A, including direct executive and ... A Barron's Top 100 RIA Firm, Forbes' America's Top RIA Firm and CNBC Elite Advisor*, NewEdge ...
Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... You will lead a team of designers and copywriters, including both direct reports and dotted-line ...
Quick apply
Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... You will lead a team of designers and copywriters, including both direct reports and dotted-line ...
The role will support the local Senior Director - Private Wealth Solutions (RIA Distribution), the ... Analyze advisor, firm, and platform-level data to identify growth opportunities, underpenetrated ...
The role will support the local Senior Director - Private Wealth Solutions (RIA Distribution), the ... Analyze advisor, firm, and platform-level data to identify growth opportunities, underpenetrated ...
The role will support the local Senior Director - Private Wealth Solutions (RIA Distribution), the ... Analyze advisor, firm, and platform-level data to identify growth opportunities, underpenetrated ...
The role will support the local Senior Director - Private Wealth Solutions (RIA Distribution), the ... Analyze advisor, firm, and platform-level data to identify growth opportunities, underpenetrated ...
$225K - $275K/yr
MBA highly preferred. * 10+ years of progressive experience in FP&A, including direct executive and ... A Barron's Top 100 RIA Firm, Forbes' America's Top RIA Firm and CNBC Elite Advisor*, NewEdge ...
$225K - $275K/yr
MBA highly preferred. * 10+ years of progressive experience in FP&A, including direct executive and ... A Barron's Top 100 RIA Firm, Forbes' America's Top RIA Firm and CNBC Elite Advisor*, NewEdge ...
Houston, TX ยท On-site
The role will support the local Senior Director - Private Wealth Solutions (RIA Distribution), the ... Analyze advisor, firm, and platform-level data to identify growth opportunities, underpenetrated ...
Houston, TX ยท On-site
The role will support the local Senior Director - Private Wealth Solutions (RIA Distribution), the ... Analyze advisor, firm, and platform-level data to identify growth opportunities, underpenetrated ...
New York, NY ยท On-site
Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... Mercer Advisors is seeking an experienced and passionate Creative Director to join our team. The ...
New York, NY ยท On-site
Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... Mercer Advisors is seeking an experienced and passionate Creative Director to join our team. The ...
Manhattan, NY ยท On-site
$225K - $275K/yr
MBA highly preferred. * 10+ years of progressive experience in FP&A, including direct executive and ... A Barron's Top 100 RIA Firm, Forbes' America's Top RIA Firm and CNBC Elite Advisor*, NewEdge ...
Manhattan, NY ยท On-site
$225K - $275K/yr
MBA highly preferred. * 10+ years of progressive experience in FP&A, including direct executive and ... A Barron's Top 100 RIA Firm, Forbes' America's Top RIA Firm and CNBC Elite Advisor*, NewEdge ...
Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... Mercer Advisors is seeking a Senior Director, Client Tax Wealth Expansion, to lead one of the firm ...
Quick apply
Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... Mercer Advisors is seeking a Senior Director, Client Tax Wealth Expansion, to lead one of the firm ...
Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... Mercer Advisors is seeking a Senior Director, Client Tax Wealth Expansion, to lead one of the firm ...
Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... Mercer Advisors is seeking a Senior Director, Client Tax Wealth Expansion, to lead one of the firm ...
Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... The Director, Targeted Acquisition will own and scale Mercer Advisors' targeted acquisition ...
Quick apply
Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... The Director, Targeted Acquisition will own and scale Mercer Advisors' targeted acquisition ...
$34K - $47.2K
4% of jobs
$47.2K - $60.5K
8% of jobs
$60.5K - $73.7K
11% of jobs
$75.8K is the 25th percentile. Wages below this are outliers.
$73.7K - $86.9K
12% of jobs
$86.9K - $100.1K
14% of jobs
The median wage is $101.9K / yr.
$100.1K - $113.4K
12% of jobs
$113.4K - $126.6K
13% of jobs
$129.9K is the 75th percentile. Wages above this are outliers.
$126.6K - $139.8K
9% of jobs
$139.8K - $153K
9% of jobs
$153K - $166.3K
5% of jobs
$166.3K - $179.5K
3% of jobs
$34K
$107.7K
$179.5K
| Aspect | Director Ria Firm | Financial Advisor |
|---|---|---|
| Credentials | Series 7, 63, 65/66, and possibly CFP or CFA | Series 7, 63, 65/66, CFP or similar certifications |
| Work Environment | Leadership role managing RIA firm operations | Client-facing, providing personalized financial advice |
| Employer & Industry Usage | Typically employed by or managing an RIA firm | Employed 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.
Cities with the most Director Ria Firm job openings:
The most popular types of Ria Firm jobs are:
States with the most job openings for Director Ria Firm jobs include:
The top searched job categories for Director Ria Firm jobs are:

Green Bay, WI โข On-site
Full-time
Re-posted 21 days ago
Director of Brokerage and RIA Operations
If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable control environment, we should talk. Our client is seeking a Director of Brokerage, RIA Operations & Controls to lead the operational strategy, technology enablement, and control framework for its broker-dealer and RIA platform.
This highly visible leadership role oversees account opening, trade support, product governance, clearing firm relationships, commission processing, reconciliation, reporting, and operational integrity while partnering closely with Finance, Risk, Compliance, and Private Wealth. You'll serve as the Operations Principal and FINOP specialist, helping shape a scalable, best-in-class operating model designed for growth.
Qualified candidates will bring 10+ years of broker-dealer or RIA operations experience, including 7+ years of leadership experience, along with a strong understanding of controls, regulatory requirements, and technology-driven efficiency. Series 7, 24, and 27 licenses are required, though candidates possessing two of the three will be considered; Series 4 and 66 (or 63/65) are a plus. Available in Green Bay and Milwaukee only! If you appreciate strong controls, clean reconciliations, and the satisfaction that comes from making complex operations look effortless, you may have just found your people.
To learn more about our organization please visit us at www.westportone.com
To apply for this position, submit your resume by choosing one of the following:
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1,001 - 5,000 Employees
Goose Creek, SC, US