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Director Ria Jobs in Indiana (NOW HIRING)

NSG Group

Electrical Engineer - Auto Glass

Shelbyville, IN · On-site

$100K - $125K/yr

Ensure equipment and layouts are compliant with current OSHA and RIA guidelines, local and national ... Supervise and/or direct contractors, suppliers, or other technical people as required. * Perform ...

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Director Ria information

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.

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

The most popular types of Ria jobs in Indiana are:

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

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

What job categories do people searching Director Ria jobs in Indiana look for?

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

What cities in Indiana are hiring for Director Ria jobs?

Cities in Indiana with the most Director Ria job openings:

Director Ria jobs near you
Infographic showing various Director Ria job openings in Indiana as of September 2026, with employment types broken down into 2% As Needed, 76% Full Time, 20% Part Time, 1% Temporary, and 1% Contract. Highlights an 89% Physical, 3% Hybrid, and 8% Remote job distribution.

Surveillance Analyst

Indianapolis, IN • Hybrid

Sanctuary Wealth Group LLC
See more jobs at Sanctuary Wealth Group LLCexternal

$150K/yr

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 22 days ago

Key responsibilities

  • Conduct ongoing surveillance of trading activity and investment advisory activities to detect potential violations or compliance issues.

  • Review and assess surveillance alerts, identify suspicious patterns, and escalate issues for further investigation or supervisory action.

  • Develop and compile surveillance metrics and reports for compliance leadership and management.

Job description

Description

Surveillance Analyst

Reports To: Director of Operations

Location: Indianapolis, IN, San Antonio, TX, Miami, FL, Omaha, NE or Portland, OR

Type: Full-Time, On-Site with Hybrid Schedule

Compensation Package: Base Salary (*commensurate with experience) + 10% Annual Bonus Eligibility + Competitive Benefits Package + Unlimited PTO 


 Join Our Team at Sanctuary Wealth - Sanctuary Wealth is a leading partnered independence platform for elite financial advisors and wealth management firms, designed to empower entrepreneurial teams to build, own, and grow their practices while delivering exceptional client outcomes. As a rapidly growing organization with a national network of partner firms and a fully integrated RIA and broker-dealer platform, Sanctuary provides the infrastructure, technology, and compliance support that allows advisors to focus on what matters most-serving clients and growing their businesses. 


Position Summary -  The Surveillance Analyst provides supervisory and compliance oversight by monitoring Broker-Dealer and Registered Investment Advisor (RIA) activities across Sanctuary Securities and Sanctuary Advisors. This position is responsible for conducting and enhancing the firm's surveillance program to identify potential market manipulation, trading irregularities, and compliance issues across brokerage and advisory business lines. 


The Analyst will perform daily reviews of transactions and communications, investigate alerts for possible violations, and escalate issues to as needed. In addition, this role will help maintain a robust supervisory framework by assisting with regulatory inquiries, developing surveillance metrics, refining surveillance tools, and supporting other delegated supervisory responsibilities to ensure the firm's compliance with FINRA and SEC regulations. 


Responsibilities 

  • Conduct ongoing surveillance of trading activity (brokerage transactions) and investment advisory activities to detect potential regulatory violations, market manipulation, or compliance issues.
  • Review and assess surveillance alerts and reports; identify patterns of suspicious behavior (e.g., excessive trading, unsuitable transactions) and escalate issues for further investigation or supervisory action.
  • Maintain detailed documentation of surveillance reviews, alert resolutions, and supervisory actions in accordance with firm procedures and regulatory expectations.
  • Collaborate with Compliance, Risk, Legal, and Leadership to investigate and resolve potential regulatory or reputational risks identified through surveillance.
  • Assist in the enhancement of surveillance programs by designing and improving surveillance techniques, rules, and models; participate in user acceptance testing (UAT) for new surveillance systems or updates.
  • Develop and compile comprehensive surveillance metrics and reports for distribution to Compliance leadership and business management, highlighting trends and findings.
  • Help draft and update written supervisory procedures, policies, and training materials related to trading and advisory surveillance.
  • Support responses to regulatory inquiries, examinations, and investigations by gathering surveillance data and documentation as needed.
  • Perform other delegated supervisory duties or special projects as assigned to support the firm's overall compliance and supervisory program.

Requirements

Qualifications 

  • 2+ years of experience in compliance, surveillance, or supervision within a broker-dealer or investment advisory firm (or relevant regulatory agency).
  • Strong working knowledge of FINRA, SEC, and federal securities laws and regulations applicable to broker-dealers and RIAs, including trading and investment advisory activities.
  • Familiarity with a broad range of investment products and services (e.g., equities, fixed income, mutual funds, annuities, managed accounts, insurance products) and how they are supervised.
  • Experience with or ability to quickly learn automated surveillance systems and tools (e.g., InvestEdge or other compliance systems) to analyze trading and account activity.
  • High proficiency in data analysis and Microsoft Excel; able to manipulate and analyze large data sets to identify trends and anomalies.
  • Excellent written and verbal communication skills, with ability to document findings clearly and to communicate issues to senior management and advisors.
  • Strong analytical and investigative mindset with acute attention to detail and accuracy in a high-volume, fast-paced environment.
  • Demonstrated ability to work independently and exercise sound judgment in making supervisory decisions with minimal supervision.
  • Effective time management and organizational skills; capable of managing multiple priorities and meeting deadlines while maintaining a high level of quality.
  • High level of integrity, discretion, and professionalism when dealing with sensitive information and during interactions with internal and external parties.
  • Collaborative team player with a proactive approach to addressing issues and continuously improving compliance processes.

Education

Undergraduate degree in Business, Finance, or a related discipline, or equivalent work experience.


Licenses 

Series 7, 66 (or 63 and 65), 24, 4 (or 9 and 10) required; Series 53, and Life & Health Insurance licenses are a plus.

Benefits & Perks:

We believe in supporting our employees both personally and professionally by offering a comprehensive and competitive benefits package designed to promote well-being, financial security, career growth, and work-life balance.


Health & Wellness

  • Medical, dental, and vision insurance options 
  • Health Savings Account (HSA) programs 
  • Employer-paid life and disability insurance 
  • Wellness initiatives and preventative care support 

Financial Benefits

  • Competitive base compensation and 10% performance-based annual bonus opportunity 
  • 401(k) retirement plan with company match 
  • Employee referral bonus program 

Time Off & Flexibility

  • Unlimited paid time off (PTO) package 
  • Paid company holidays 
  • Paid parental leave 
  • Hybrid work schedule

Professional Development

  • Ongoing learning and development opportunities 
  • Professional certification and continuing education support 
  • Career growth and internal mobility opportunities 
  • Access to mentorship and leadership development programs 

Additional Perks

  • Company-sponsored employee engagement activities 
  • Technology and equipment support for applicable roles 
  • Inclusive and collaborative workplace culture 
  • Volunteer and community engagement opportunities

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