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Director Ria Jobs in Arizona (NOW HIRING)

BOK Financial

Private Wealth Advisor

Phoenix, AZ · On-site

... RIA) firm or as a BOK advisor? If you hold securities and/or insurance licenses you may offer ... Self-directed and self-motivated individual. * Good knowledge of Microsoft Office; experience with ...

BOK Financial

Private Wealth Advisor

Phoenix, AZ · On-site

... RIA) firm or as a BOK advisor? If you hold securities and/or insurance licenses you may offer ... Self-directed and self-motivated individual. * Good knowledge of Microsoft Office; experience with ...

BOK Financial

Private Wealth Advisor

Phoenix, AZ · On-site

... RIA) firm or as a BOK advisor? If you hold securities and/or insurance licenses you may offer ... Self-directed and self-motivated individual. * Good knowledge of Microsoft Office; experience with ...

BOK Financial

Private Wealth Advisor

Scottsdale, AZ

... RIA) firm or as a BOK advisor? If you hold securities and/or insurance licenses you may offer ... Self-directed and self-motivated individual. * Good knowledge of Microsoft Office; experience with ...

BOK Financial

Private Wealth Advisor

Mesa, AZ · On-site

... RIA) firm or as a BOK advisor? If you hold securities and/or insurance licenses you may offer ... Self-directed and self-motivated individual. * Good knowledge of Microsoft Office; experience with ...

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Director Ria information

Is $100,000 enough to work with a financial advisor?

For a Director Ria or similar financial professionals, a $100,000 investment can be sufficient to work with a financial advisor, depending on the advisor's fee structure and the complexity of your financial goals. Many advisors charge a percentage of assets under management or flat fees, so the amount needed varies based on the services required and the advisor's policies.

How many financial advisors make $500,000 a year?

In the financial advisory profession, a small percentage of top-performing financial advisors earn $500,000 or more annually, often due to high client assets, extensive experience, and advanced certifications like the CFP or CFA. Achieving this level typically requires managing a large client portfolio, strong sales skills, and a high level of industry experience.

What is a Director Ria?

A Director Ria is typically a high-level executive responsible for overseeing a specific department, program, or business unit within an organization named Ria, such as Ria Money Transfer. The role involves strategic planning, managing teams, ensuring compliance with regulations, and driving business growth. Directors at this level are also responsible for setting goals, monitoring performance, and collaborating with other senior leaders to achieve organizational objectives. Their work often requires extensive experience in management, leadership, and the industry relevant to their organization.

What are the key skills and qualifications needed to thrive as a Director at Ria, and why are they important?

To thrive as a Director at Ria, you generally need strong leadership abilities, strategic planning experience, and a solid background in financial services or money transfer operations, often supported by a relevant degree. Familiarity with compliance systems, financial reporting tools, and customer relationship management (CRM) platforms is typically required. Exceptional communication, problem-solving, and cross-cultural collaboration skills help a Director stand out in this international setting. These qualifications and skills are vital to drive business growth, ensure regulatory compliance, and effectively lead diverse teams in the fast-paced remittance industry.

What are some common challenges faced by a Director in a Remittance and International Affairs (RIA) role, and how can they be addressed?

A Director in Remittance and International Affairs often faces challenges such as navigating complex regulatory environments across multiple countries, ensuring compliance with anti-money laundering (AML) laws, and adapting to rapidly evolving financial technologies. Building strong relationships with global partners and maintaining up-to-date knowledge of local and international regulations are essential for success. Effective Directors foster a culture of compliance, encourage open communication within their teams, and leverage technology to streamline operations and enhance security.

How much does the average RIA make?

The average Registered Investment Advisor (RIA) earns between $100,000 and $200,000 annually, depending on experience, client base, and firm size. Senior RIAs or those managing larger portfolios can earn significantly more, especially with additional certifications like the CFP or CFA. Compensation often includes base salary, bonuses, and profit sharing, and many RIAs work in a client-facing environment requiring strong financial and interpersonal skills.

Is $200,000 enough to work with a financial advisor?

For a Director Ria or similar financial professionals, a $200,000 investment can be sufficient to work with a financial advisor, depending on the advisor's fee structure and the complexity of your financial goals. Many advisors charge a percentage of assets under management or flat fees, so the amount needed varies based on the services required and the advisor's policies.
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Director Ria jobs near you
Director, Advocacy & Supervision

Director, Advocacy & Supervision

Cambridge Investment Research, Inc.

Phoenix, AZ • Hybrid

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted yesterday

Job description

Job SummaryKey Deliverables and Responsibilities

Cambridge Investment Group is seeking a Director, Advocacy and Supervision to lead a territory of multiple roles, including Regional Directors, Associate Regional Directors, and Principals, who build and maintain strong relationships with Financial Professionals while balancing advocacy, service, supervision, and regulatory responsibilities. This leader will help drive department effectiveness, strengthen business partnerships, support compliance with industry requirements, and foster a high-performing team focused on exceptional customer service.

What You'll Do

  • Lead, coach, and mentor associates, fostering professional development, accountability, and positive associate experiences that contribute to long-term business success.

  • Cultivate strong, trusted relationships with Financial Professionals, direct reports, and internal partners to deliver exceptional service and support compliance with industry regulations.

  • Drive overall department effectiveness by directing operations, setting priorities, and aligning team objectives with business and competitive strategy.

  • Develop and direct strategic initiatives related to company and departmental policies, procedures, and service standards for internal and external customers.

  • Serve as an escalation contact and trusted resource for OSJ Supervisors, Financial Professionals, designees, and internal partners.

  • Review and support supervision activities, including sales activity, correspondence, and documentation requirements.

  • Identify and lead process improvement initiatives using continuous improvement methods and tools to enhance team efficiency and effectiveness.

  • Partner across the firm on strategic projects, cross-divisional committees, and task forces as needed.

  • Maintain accurate records, document actions for managed areas, and support budgetary processes as appropriate.

  • Maintain a current working knowledge of industry topics, regulatory requirements, internal programs, firm policies, and departmental procedures.

What We Are Looking For

  • 4+ years of Financial Professional supervision experience.

  • 4+ years of leadership experience.

  • FINRA Series 7, 24 required.

  • Series 4, 51 or 53 preferred; other licenses or certificates may be required as dictated by the department.

  • Ability to travel locally within a specific geographic area, with limited overnight travel outside the area when applicable.

Ideal Candidate Profile

  • Builds transformational relationships with associates, Financial Professionals, and internal partners.

  • Operates strategically, sets clear objectives, and prioritizes work in alignment with business needs.

  • Approaches challenges with curiosity, flexibility, critical thinking, and sound judgment within compliance guidelines.

  • Looks at complex issues from multiple perspectives and anticipates stakeholder needs.

  • Is personally driven to execute on assigned projects and initiatives.

  • Represents the department and company professionally in all internal and external interactions.

Location: Phoenix, AZ, or Fairfield, IA - Hybrid in-office 3 days/week

Why Cambridge?

Cambridge has competitive benefits and promotes a work/life balance to encourage individual success.

  • Premium benefit package including medical, vision, dental, life and long-term disability insurance

  • Vacation/sick time

  • 401K retirement plan with company matching program

  • Eleven paid holidays

You can find more details about our comprehensive benefits packagehere.

Company Overview:

At Cambridge, our purpose is simple: to make a difference in the lives of our financial advisors, their clients, and our associates. Founded in 1981, we have 45 years of experience supporting independent financial advisors with industry-leading tools, compliance, and transition services. Guided by our core values-integrity, commitment, flexibility, and kindness-we put financial advisors first in every decision we make.

Cambridge is an internally controlled, growth-focused independent broker-dealer, ranked among the largest and fastest-growing firms in the industry. With home offices in Fairfield, Iowa, and Phoenix, Arizona, and a nationwide reach, our 900 associates maintain a 4:1 advisor-to-associate ratio to ensure personalized service.

Our community of over 4,000 producing financial advisors includes diverse business models-RIA, corporate RIA, hybrid, fee-only, and brokerage-and offers a broad selection of investment solutions with no proprietary products.

For further information about Cambridge, please visit https://www.joincambridge.com/

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