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Director Ria Jobs in Arizona (NOW HIRING)

Microchip Technology

Analyst- Tax

Chandler, AZ · On-site

Data collection and analysis (including accounting systems, tax systems, and direct inquiry to ... RIA Checkpoint), and Microsoft Office products with an emphasis on Excel * Strong verbal and ...

Microchip Technology

Analyst- Tax

Chandler, AZ · On-site

Data collection and analysis (including accounting systems, tax systems, and direct inquiry to ... RIA Checkpoint), and Microsoft Office products with an emphasis on Excel * Strong verbal and ...

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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.
What are the most commonly searched types of Ria jobs in Arizona? The most popular types of Ria jobs in Arizona are:
What are popular job titles related to Director Ria jobs in Arizona? For Director Ria jobs in Arizona, the most frequently searched job titles are:
What job categories do people searching Director Ria jobs in Arizona look for? The top searched job categories for Director Ria jobs in Arizona are:
What cities in Arizona are hiring for Director Ria jobs? Cities in Arizona with the most Director Ria job openings:
Director Ria jobs near you
Advertising and Supervision Analyst

Advertising and Supervision Analyst

Kestra Holdings

Tempe, AZ • On-site

Full-time

Medical, Retirement

Posted 27 days ago

Job description

Kestra Financial is a wealth management platform dedicated to empowering independent financial professionals-including traditional and hybrid RIAs-to grow their businesses and deliver exceptional client service. We combine advanced business management technology with personalized consulting to provide unmatched scale, efficiency, and support. Our advisor-focused culture is built on innovation and advocacy, enabling advisors to offer comprehensive securities and investment advisory solutions to their clients
Lead with Purpose. Partner with Impact.
The position will be operated within a Home office based Compliance and Supervision department, working with other Compliance and Supervision staff. This position reports to the Director of Advertising Compliance. The individual is responsible for reviewing advertising, correspondence, outside business activities, and other activities of registered representatives and investment adviser representatives.
What you'll Do:
  • To perform this job successfully, individual must be able to execute each essential duty:
  • Provide subject matter expertise in reviewing sales literature, marketing materials, and communications, while proactively assisting financial professionals in aligning content with regulatory requirements and internal policies.
  • Contribute to the development and maintenance of controls, systems, procedures, and records as required by FINRA, SEC, and state regulators.
  • Support the creation and updates of supervisory procedures, training content, a compliance-approved materials library, and internal communications.
  • Responsible for the supervisory review of written and electronic correspondence
  • Responsible for the supervisory review of outside business activities (OBA)
  • Participate in the training and mentorship of Advertising Compliance Analysts.
  • Collaborate effectively with financial professionals, product partners, RIAs, agents, advertising agencies, and PR firms.
  • Assist in training internal teams and field staff on advertising processes, systems, and regulations.
  • Elevate relevant questions or concerns to senior analysts or management as appropriate.
  • File advertising and communications with FINRA as required.
  • Conduct regulatory research as needed.
  • Demonstrate professionalism, accountability, client focus, and teamwork as part of the firm's cultural commitment.

What You Bring:
  • Bachelor's Degree preferred
  • Minimum 5 years industry experience
  • To perform this job successfully, the individual should demonstrate the following:
  • Consistent delivery of excellent customer service.
  • Strong understanding of digital marketing trends, content strategy, and social media use in financial services.
  • Experience working within a dual-registrant environment (broker-dealer and RIA).
  • Solid knowledge of SEC Marketing Rule requirements, including rules around third-party awards, endorsements, testimonials, and performance advertising.
  • In-depth familiarity with FINRA and SEC advertising/communications regulations.
  • Ability to interpret and reconcile regulatory rules with proposed advertising materials.
  • Strong verbal and written communication skills; ability to explain complex compliance concepts clearly and constructively.
  • Exercise sound judgment, critical thinking, and strong analytical skills to navigate complex regulatory guidelines independently, while maintaining exceptional attention to detail and collaborating effectively within a team environment.
  • Understanding of securities and insurance products, as well as investment advisory services.
  • FINRA Series 7 License required
  • FINRA Series 24 License required
  • Series 66 within 3 months of hire.

Internal Application Policy:
Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP.
Benefits to support you:
  • Competitive pay and benefits with a large employer (over 1600 employees nationwide)
  • 401(k), health insurance, and a competitive benefits package
  • Work in a supportive, collaborative environment committed to professional excellence
  • Help clients navigate meaningful financial decisions with confidence
  • Opportunities for training, development, and long-term growth within the firm
  • Tuition reimbursement for qualified expenses

Kestra Values:
Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them. We do that by living our values: Serve, Make it Happen, and One team.
Explore Life at Kestra
Kestra Holdings Website: https://www.kestrafinancial.com/
Careers Portal: https://jobs.dayforcehcm.com/en-US/kestra/KESTRACAREERSITE
LinkedIn: https://www.linkedin.com/company/kestra-financial
Apply Today
Lead with purpose. Apply now and help shape the future of Kestra.
DisclosureBy applying to a job at Kestra Financial, Inc., you are agreeing to the following statements:
  • You acknowledge that if hired, Kestra Financial, Inc. may, obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment.
  • It is the policy of Kestra Financial to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law. Kestra Financial prohibits any such discrimination or harassment.

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