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Director Ria Jobs in Massachusetts (NOW HIRING)

Allworth Financial

Associate Advisor

Lynnfield, MA · On-site

$75K - $90K/yr

... a direct approach to financial planning. Allworth Financial delivers long- and short-term ... Allworth Financial was also recognized as a Barron's Top 40 RIA in 2024. SUMMARY The Associate ...

Origin

You understand RIA / BD / custody / regulated-flow constraints well enough to ship without breaking them. * 3+ years in highly competitive direct-to-consumer SaaS - consumer product, growth and ...

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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 Massachusetts?

The most popular types of Ria jobs in Massachusetts are:

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

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

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

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

What cities in Massachusetts are hiring for Director Ria jobs?

Cities in Massachusetts with the most Director Ria job openings:

Director Ria jobs near you

Compliance Officer, Marketing Review

Boston, MA • On-site

Victory Capitel
See more jobs at Victory Capitelexternal

$110K - $130K/yr

Full-time

Medical, Dental, Vision, Retirement, PTO

Re-posted 4 days ago

Key responsibilities

  • Review and approve marketing materials for compliance with applicable regulations.

  • Interpret rules and regulations to ensure marketing materials are compliant across various investment products and channels.

  • Collaborate with internal teams to provide guidance and support regulatory examinations related to advertising compliance.

Job description

Compliance Officer, Marketing Review
Boston, MA
About Victory Capital:
Victory Capital (NASDAQ: VCTR) is a diversified global asset management firm. We serve institutional, intermediary, and individual clients through our Investment Franchises and Solutions Platform, which manage specialized investment strategies across traditional and alternative asset classes. Our differentiated approach combines the power of investment autonomy with the support of a robust, fully integrated operational and distribution platform. Clients have access to focused, top-tier investment talent equipped with comprehensive resources designed to deliver competitive long-term performance.
Victory Capital is headquartered in San Antonio, Texas. To learn more, visit www.vcm.com or follow us on Facebook, Twitter (X), and LinkedIn.
General Summary and Purpose:
We are seeking a mid-level professional to work in our Marketing Compliance team, supporting both our registered investment adviser (RIA), broker-dealer, and direct platforms. You will actively review and approve advertising and marketing materials for retail, institutional, and intermediary distribution channels, and work directly with colleagues across the company to produce compliant and effective collateral.
This role demands both interpreting rules and regulations and hands-on marketing material review for a diverse product suite. We are looking for a team player with strong analytical skills and good common sense. During peak periods, particularly around quarter-end reporting cycles, your ability to prioritize, exercise sound judgment, and collaborate will be critical. Outside of peak periods, you will also be expected to contribute to the success of overall compliance program. This may include various editorial tasks or supervisory functions, as aligned with program needs and/or your interests and abilities.
You will report to the Senior Compliance Officer.
You Will:
  • Interpret and apply knowledge of rules and regulations to the review and approval of marketing materials, including advertising, sales literature, institutional material, digital communications, advisory programs, and other types of communications to ensure compliance with applicable regulations.
  • Review and approve marketing materials for registered investment products across multiple investment franchises, including mutual funds, active/passive ETFs, and UCITS marketed to US Offshore market.
  • Review and approval of institutional products and services materials, including strategy, separately managed accounts, collective investment trusts, and model portfolio delivery materials.
  • Assist and seek to enhance documentation of various policies, procedures, and communications to business units.
  • Act as a collaborative partner to Marketing, Portfolio Management, Product, Fund Administration, and Legal to provide accurate, compliant, commercially practical guidance.
  • Identify opportunities to implement process improvements and drive innovation with technology, including optimizing the firm's use of Red Oak and internal AI tools.
  • Support regulatory examinations and inquiries related to advertising compliance.
  • Actively participate in various compliance group projects and initiatives.

You Have:
  • Bachelor's degree; JD or advanced degree a plus.
  • 3+ years of compliance experience within asset management, ETF issuers, investment adviser, or broker-dealer platforms.
  • Strong understanding of SEC, FINRA, MSRB and other related securities advertising compliance, with hands-on marketing review experience.
  • Active FINRA Series 7 and Series 24 licenses, or ability to obtain within 120 days.
  • Excellent writing skills with strong attention to grammar and punctuation.
  • Ability to demonstrate resourcefulness, creativity, and initiative by identifying opportunities to enhance existing processes and implementing, as appropriate.
  • Experience working in Red Oak/AdMaster (strong plus)
  • Proficiency in Microsoft Office tools (Excel, PowerPoint, Word)

Our Benefits:
Victory Capital Management Inc. offers excellent Medical, Dental, Vision plans, Flexible PTO, Family Medical and Disability Leaves, Education Tuition Reimbursement, and a 401k plan with a generous employer match.
Target Compensation:
The target base salary range for this position is $110,000 - $130,000.
Salaries are determined based on internal equity, internal salary ranges, market data/ranges, applicant's skills and prior relevant experience, certain degrees, and certifications.
Victory Capital Management operates a pay-for-performance compensation philosophy and total compensation may vary based on role, location, department and individual performance.
Victory Capital Management's total compensation package includes the opportunity for annual compensation bonuses and/or commissions and a generous benefits package.
We are committed to equal employment opportunity without regard to actual or perceived race, color, creed, religion, national origin, ancestry, citizenship status, age, sex or gender (including pregnancy, childbirth, pregnancy-related conditions, and lactation), gender identity or expression (including transgender status), sexual orientation, marital status, military service and veteran status, physical or mental disability, genetic information, height, weight, hair texture or a hairstyle historically associated with race to include braids, locks, or twists; or any other characteristic protected by applicable federal, state, or local laws and ordinances.
Equal Opportunity Employer
This employer is required to notify all applicants of their rights pursuant to federal employment laws.
For further information, please review the Know Your Rights notice from the Department of Labor.

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