ZipRecruiter

Log In

1

Director Ria Jobs in Phoenix, AZ (NOW HIRING)

The French Agency

*Remote* Tax Manager in US

Tempe, AZ · On-site +1

$90K - $150K/yr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

You will direct and assist in the compliance aspects of US tax for corporations, partnerships, LLCs ... Big 4 firm experience preferred * Computer proficiency with software programs such as RIA ...

jobr.pro

Manufacturing Safety Manager

Phoenix, AZ · On-site

$105 - $140/hr

You've conducted machine risk assessments per ANSI/RIA R15.06, R15.08, ISO 10218-1/2, ISO/TS 15066 ... just directed contractors. * You've led root-cause investigations using 5-Why or fault tree ...

New

Fluidstack

Manufacturing Safety Manager

Phoenix, AZ · On-site

$93K - $155K/yr

You've conducted machine risk assessments per ANSI/RIA R15.06, R15.08, ISO 10218-1/2, ISO/TS 15066 ... just directed contractors. * You've led root-cause investigations using 5-Why or fault tree ...

Crewe Advisors

Wealth Analyst

Scottsdale, AZ · On-site

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

... more direct role in client meetings, financial plan development, and relationship management ... an RIA firm or similar financial services setting, or strong relevant internship experience

Crewe Advisors

Wealth Analyst

Scottsdale, AZ · On-site

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

... more direct role in client meetings, financial plan development, and relationship management ... an RIA firm or similar financial services setting, or strong relevant internship experience

Bahnsen Group LLC

Associate Private Wealth Advisor

Phoenix, AZ · Hybrid

  • Medical

  • Dental

  • Vision

  • Retirement

... Director. Since that inception, the company has grown at over +29% per year for ten years running ... an RIA) * Expectation of growing into a Private Wealth Advisor in the coming years * Strong ...

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

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 ...

previous pagenext page

Showing results 21-40

All JobsRia JobsDirector Ria JobsDirector Ria Jobs in Phoenix, AZ

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 Phoenix, AZ?

The most popular types of Ria jobs in Phoenix, AZ are:

What are popular job titles related to Director Ria jobs in Phoenix, AZ?

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

What job categories do people searching Director Ria jobs in Phoenix, AZ look for?

The top searched job categories for Director Ria jobs in Phoenix, AZ are:

What cities near Phoenix, AZ are hiring for Director Ria jobs?

Cities near Phoenix, AZ with the most Director Ria job openings:

Director Ria jobs near you

Supervisory Principal

Cambridge Investment Research, Inc.

Phoenix, AZ • On-site

Full-time

Re-posted 4 days ago

Job description

Job SummaryKey Deliverables and Responsibilities

Cambridge is seeking an Advocacy and Supervision Principal to join the Advocacy and Supervision department. This role is responsible for reviewing, analyzing, and approving daily transactions and account activity while helping ensure adherence to firm policies, clearing firm requirements, and applicable regulatory standards. The ideal candidate is a thoughtful, detail-oriented decision-maker who can assess complex situations, identify potential risk, and balance service with sound supervisory judgment.

Key Responsibilities:

  • Review, analyze, and approve daily transactions, including Mutual Funds, Variable Annuities, Variable Life, 529 Plans, and Direct Participation Programs/Real Estate Investment Trusts.

  • Review client information, suitability forms, new account documentation, sponsor applications, third-party money manager agreements, CIRA advisory agreements, and independent advisory paperwork for completeness, accuracy, and acceptance.

  • Provide review and oversight of OSJ approval trades and brokerage account transactions for financial professionals reporting to the home office.

  • Use the firm's compliance engine, dual brokerage platforms, clearing firm reports, and custom reporting tools to conduct supervisory reviews and identify activity that may require escalation.

  • Research complex questions, assess suitability and risk, and make independent recommendations while maintaining strong working relationships with financial professionals and internal partners.

  • Ensure adherence to firm policies and procedures, clearing firm policies, and applicable requirements; inform management of potential violations or concerns.

  • Provide professional, courteous problem-solving and troubleshooting support for inbound phone calls, voicemails, emails, and occasional in-person inquiries from existing and new financial professionals and staff.

  • Assist with the organization, development, and delivery of training programs and materials for new and existing financial professionals, including phone training and administrative workshops.

What We Are Looking For

Location: Phoenix, AZ or Fairfield, IA - hybrid attendance (in-office 3 days/week)

A strong Principal investigates rather than simply processes. They ask thoughtful questions such as, "What am I missing?", "Does this make sense?", "What is the client's objective?", and "Is there a pattern here?" They are willing to go where the work is, navigate available resources, make difficult decisions when they are the right decisions, and escalate concerns appropriately.

Education and Experience:

  • 2+ years of related experience, education, and/or training in supervision, compliance, brokerage operations, financial services, or a related field.

Licensing:

FINRA Series 7 and Series 24 licenses are required.

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/

Apply