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Director Ria Jobs (NOW HIRING)

The Misch Group

Wealth Advisor

New York, NY · On-site

$90K - $350K/yr

Guidance on compensation structures, transitions and platform differences We support roles ranging from early career Financial Advisor to Senior Wealth Advisor, Private Wealth Director, RIA Lead ...

Altruist

Director, Partnerships

San Francisco, CA · Hybrid

$300K - $350K/yr

Partnerships are how Hazel reaches the majority of the RIA market that direct sales alone cannot - affiliated firms behind broker-dealers, aggregators, and platforms. One signed deal at this tier ...

The Misch Group

Wealth Advisor

New York, NY

Guidance on compensation structures, transitions and platform differences We support roles ranging from early career Financial Advisor to Senior Wealth Advisor, Private Wealth Director, RIA Lead ...

Clients Blackbox, Inc.

RIA Marketing Manager

We're going through a massive growth period and looking for a Senior Paid Media Strategist (aka RIA ... You'll report to the Associate Director of Operations and have direct responsibility for client ...

Altruist

Director, Partnerships

San Francisco, CA · On-site

Partnerships are how Hazel reaches the majority of the RIA market that direct sales alone cannot - affiliated firms behind broker-dealers, aggregators, and platforms. One signed deal at this tier ...

Mercer Advisors

Creative Director

New York, NY

Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... You will lead a team of designers and copywriters, including both direct reports and dotted-line ...

New

Altruist

Compliance Director

San Francisco, CA · Hybrid

Third-Party RIA Regulatory Requests - Own the program end-to-end, including responses to regulator ... Program breadth - Direct experience owning at least two of: marketing compliance, third-party RIA ...

Altruist

Compliance Director

Los Angeles, CA · Hybrid

Third-Party RIA Regulatory Requests - Own the program end-to-end, including responses to regulator ... Program breadth - Direct experience owning at least two of: marketing compliance, third-party RIA ...

Altruist

Compliance Director

Dallas, TX · Hybrid

Third-Party RIA Regulatory Requests - Own the program end-to-end, including responses to regulator ... Program breadth - Direct experience owning at least two of: marketing compliance, third-party RIA ...

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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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What cities are hiring for Director Ria jobs? Cities with the most Director Ria job openings:
What are the most commonly searched types of Ria jobs? The most popular types of Ria jobs are:
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Director Ria jobs near you
Infographic showing various Director Ria job openings in the United States as of July 2026, with employment types broken down into 1% As Needed, 84% Full Time, 12% Part Time, 1% Temporary, and 2% Contract. Highlights an 92% Physical, 3% Hybrid, and 5% Remote job distribution.

Director of Brokerage / RIA Operations and Controls

Associatedbank

Milwaukee, WI

Full-time

Retirement, PTO

Posted 4 days ago

Job description

At Associated Bank we strive to create an inclusive culture where different perspectives are valued and recognized as strengths critical to our success. If you thrive in an environment where your growth and development are encouraged and supported, then Associated Bank may be the right place for you.

Associated Bank requires you to directly represent yourself and your own experiences during the recruiting and hiring process. Associated Bank conducts a thorough background check on all new hires.

Lead the operational strategy and control environment for Associated Investment Services' broker-dealer and RIA platform. This role drives operational integrity, regulatory alignment, and technology-enabled efficiency while partnering across Finance, Risk, Compliance, and Private Wealth. It offers high visibility with senior leadership and the opportunity to shape a scalable, best-in-class operating model.

What you'll do:

  • Lead end-to-end broker-dealer and RIA operations, including account lifecycle management, trade support, reconciliation, and reporting.
  • Oversee operational control frameworks, ensuring compliance with FINRA, SEC regulations, and internal policies.
  • Serve as FINOP (Series 27) responsible for operational inputs supporting net capital, customer protection rules, and books and records integrity.
  • Drive supervisory oversight, including principal review of accounts, trade activity, and exception reporting in alignment with WSPs.
  • Partner with Finance and the Corporate Controller team on regulatory filings, audits, and financial reporting support.
  • Strengthen vendor and clearing firm relationships while identifying opportunities to improve service delivery and efficiency.
  • Advance technology enablement and process improvements to enhance automation, data quality, and scalability.
  • Develop high-performing teams by fostering accountability, continuous improvement, and professional growth.

What you'll bring:

  • Bachelor's degree in Business, Finance, or related field (or equivalent experience)
  • 10+ years of experience in broker-dealer, RIA operations, or financial controls
  • 7+ years of leadership experience in complex operational environments
  • Strong knowledge of FINRA/SEC regulations, net capital rules, and supervisory frameworks
  • Active Series 7, 24, and 27 (FINOP) licenses

Preferred:

  • Master's degree in Business, Finance, or related field
  • Series 4 and Series 65 or 66 licenses
  • Experience leading operational transformation, technology initiatives, or M&A integrations

Why You'll Love Working Here

At Associated Bank, you'll join a collaborative, growth-oriented environment with a strong commitment to our people and the communities we serve. You'll have the opportunity to influence strategy, lead meaningful change, and partner with leaders across the organization to drive impact. Apply today to make an impact.

We welcome and encourage applications from all qualified parties, including but not limited to people returning to the workforce, people with disabilities, those without a college degree, and veterans or those with military experience.

In addition to core traditional benefits, we take pride in offering benefits for every stage of life.

  • Retirement savings including both 401(k) and Pension plans.

  • Paid time off to volunteer in your community.

  • Opportunities to connect with others through our diversity-focusedColleague Resource Groups.

  • Competitive salaries with professional development and advancement opportunities.

  • Bonus benefits including well-being programs and incentives, parental leave,anemployee stock purchase plan, military benefits and much more.

  • Personal banking, loan, investmentand insurance benefits.

Associated Bank serves more than 120 communities throughout Wisconsin, Illinois, Minnesota, and Missouri and we consider our colleagues critical to our continued success. See why our colleagues continually vote us a best place to work in the Midwest.Join our community onFacebook,LinkedInandX.

Compliance Statement

Associated Bank is an equal opportunity employer committed to creating a diverse workforce. We support a work environment where colleagues are respected and given the opportunity to perform to their fullest potential. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors.

Fully complies with all applicable enterprise policies and procedures. Acts in compliance with all applicable laws and regulations as outlined in training materials, including but not limited to Bank Secrecy Act. Responsible for reporting suspicious activity to Financial Intelligence. Responsible to report all customer complaints as prescribed and procedure violations to management or HR.

Responsible to report ethical concerns as needed to Associated Bank's anonymous Ethics Hotline.

Associated Bank provides additional assistance throughout the application, interview and hiring process. Please contactleavesandaccommodations@associatedbank.comif you need an accommodation at any time during the process.

Associated Banc-Corp participates in the E-Verify Program. E-Verify NoticeEnglish or Spanish. Know Your Right to WorkEnglishorSpanish.

Associated Bank isPay Transparencycompliant.


The pay range represents anticipated base pay for this role. Actual pay may vary based on factors including, but not limited to, work location, skills, experience, education, and qualifications for the role.


For certain positions, total compensation may also include incentive, commission, or bonus opportunities not reflected in the posted base pay range.


$137,200.00 - $235,200.00 per year

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