... Executive teams. ESSENTIAL DUTIES AND RESPONSIBILITIES * Maintain Code of Ethics programs for ... Complete and assist in registration projects for RIA, ERA, and BD clients * Prepare regulatory ...
Quick apply
... Executive teams. ESSENTIAL DUTIES AND RESPONSIBILITIES * Maintain Code of Ethics programs for ... Complete and assist in registration projects for RIA, ERA, and BD clients * Prepare regulatory ...
... Executive teams. ESSENTIAL DUTIES AND RESPONSIBILITIES * Maintain Code of Ethics programs for ... Complete and assist in registration projects for RIA, ERA, and BD clients * Prepare regulatory ...
Quick apply
... Executive teams. ESSENTIAL DUTIES AND RESPONSIBILITIES * Maintain Code of Ethics programs for ... Complete and assist in registration projects for RIA, ERA, and BD clients * Prepare regulatory ...
... Executive teams. ESSENTIAL DUTIES AND RESPONSIBILITIES * Maintain Code of Ethics programs for ... Complete and assist in registration projects for RIA, ERA, and BD clients * Prepare regulatory ...
... Executive teams. ESSENTIAL DUTIES AND RESPONSIBILITIES * Maintain Code of Ethics programs for ... Complete and assist in registration projects for RIA, ERA, and BD clients * Prepare regulatory ...
... Executive teams. ESSENTIAL DUTIES AND RESPONSIBILITIES * Maintain Code of Ethics programs for ... Complete and assist in registration projects for RIA, ERA, and BD clients * Prepare regulatory ...
... Executive teams. ESSENTIAL DUTIES AND RESPONSIBILITIES * Maintain Code of Ethics programs for ... Complete and assist in registration projects for RIA, ERA, and BD clients * Prepare regulatory ...
Financial Advisor
Morristown, NJ · On-site
$200K - $250K/yr
... employee-owned RIA that offers holistic financial planning solutions for affluent families ... executives. We offer sophisticated strategies built around individual needs, preferences, risk ...
Financial Advisor
Morristown, NJ · On-site
$200K - $250K/yr
... employee-owned RIA that offers holistic financial planning solutions for affluent families ... executives. We offer sophisticated strategies built around individual needs, preferences, risk ...
Financial Advisor
Morristown, NJ · On-site
$200K - $250K/yr
... employee-owned RIA that offers holistic financial planning solutions for affluent families ... executives. We offer sophisticated strategies built around individual needs, preferences, risk ...
Quick apply
Financial Advisor
Morristown, NJ · On-site
$200K - $250K/yr
... employee-owned RIA that offers holistic financial planning solutions for affluent families ... executives. We offer sophisticated strategies built around individual needs, preferences, risk ...
Senior Product Designer
New York, NY · On-site
$185K - $215K/yr
Savvy is a registered investment advisor (RIA), and we partner with experienced financial advisors ... O of LPL Financial). Come help us scale! Recognition: We're a Certified Great Place to Work and ...
Senior Product Designer
New York, NY · On-site
$185K - $215K/yr
Savvy is a registered investment advisor (RIA), and we partner with experienced financial advisors ... O of LPL Financial). Come help us scale! Recognition: We're a Certified Great Place to Work and ...
Brokerage Operations Manager
New York, NY · On-site
$117K - $131K/yr
Savvy is a registered investment advisor (RIA), and we partner with experienced financial advisors ... Design and run the workflow for reviewing, approving, and processing client money movement requests ...
Brokerage Operations Manager
New York, NY · On-site
$117K - $131K/yr
Savvy is a registered investment advisor (RIA), and we partner with experienced financial advisors ... Design and run the workflow for reviewing, approving, and processing client money movement requests ...
Product Designer
New York, NY · On-site
$155K - $180K/yr
Savvy is a registered investment advisor (RIA), and we partner with experienced financial advisors ... O of LPL Financial). Come help us scale! Recognition: We're a Certified Great Place to Work and ...
Product Designer
New York, NY · On-site
$155K - $180K/yr
Savvy is a registered investment advisor (RIA), and we partner with experienced financial advisors ... O of LPL Financial). Come help us scale! Recognition: We're a Certified Great Place to Work and ...
Business Operations Manager
New York, NY · On-site
$117K - $131K/yr
Savvy is a registered investment advisor (RIA), and we partner with experienced financial advisors ... Design and run the workflow for reviewing, approving, and processing client money movement requests ...
Business Operations Manager
New York, NY · On-site
$117K - $131K/yr
Savvy is a registered investment advisor (RIA), and we partner with experienced financial advisors ... Design and run the workflow for reviewing, approving, and processing client money movement requests ...
Executive Ria Money information
What is the difference between Executive Ria Money vs Ria Money Transfer Agent?
| Aspect | Executive Ria Money | Ria Money Transfer Agent |
|---|---|---|
| Credentials | Typically requires managerial experience and knowledge of financial regulations | Requires basic sales and customer service skills, often with certification in money transfer procedures |
| Work Environment | Office settings, corporate environments, or supervisory roles | Retail locations, agent offices, or storefronts |
| Employer & Industry Usage | Financial services companies, corporate offices | Independent agents, retail outlets, franchise locations |
| Common Search & Comparison | Higher-level management, supervisory roles | Frontline agent roles, customer service positions |
Executive Ria Money typically refers to managerial or supervisory roles within Ria Money Transfer, focusing on overseeing operations and compliance. In contrast, Ria Money Transfer Agents are frontline employees or independent agents responsible for customer transactions. While both roles are integral to the company's operations, they differ mainly in responsibilities, credentials, and work environment.
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What job categories do people searching Executive Ria Money jobs in New York look for? The top searched job categories for Executive Ria Money jobs in New York are:
What cities in New York are hiring for Executive Ria Money jobs? Cities in New York with the most Executive Ria Money job openings:
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Re-posted 16 days ago
Job description
About Waystone
Waystone is a leading asset-servicing solutions provider of institutional governance, administration, risk and compliance services to financial institutions. With over 25 years’ experience and a comprehensive range of specialist services to its name, Waystone helps our clients structure, operate and grow through our expertise, innovation and digitisation, backed by the operational scale to support global expansion
Summary: Directors are one of a clients' key contact throughout their compliance process. Associate Directors are responsible for basic drafting tasks related to SEC and CFTC filings and compliance manuals. These individuals also conduct regular reviews of client compliance programs, often drafting SEC required annual reviews and conducting compliance training sessions. Directors manage SEC examinations and draft basic responses to examination findings together with the Executive teams.
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Maintain Code of Ethics programs for clients
- Conduct and assist with annual review obligations, including electronic communications surveillance
- Conduct and assist with the preparation of regulatory correspondence including SEC, CFTC, and SRO examinations and inquiries
- Complete and assist in registration projects for RIA, ERA, and BD clients
- Prepare regulatory filings such as Form ADV, Section 13 filings, Form PF, Form PQR, among others
- Conduct regular reviews of compliance programs including anti-money laundering
- Some travel may be required (>25%)
REQUIREMENTS
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Education:
- An internationally recognized professional qualification.
Experience:
- 7+ years’ experience working in financial services as a fund or broker deal accountant or legal or compliance professional
- Experience or technical understanding of trading strategies and the financial markets is highly desirable
- Candidates must have excellent English language skills, excelling in both written and oral communication
- Experience with Microsoft Office including excellent Excel skills is desirable
- Strong analytical skills are a must. Candidates must display the ability to analyze and interpret basic data with a keen eye for detail
- Waystone employees must be self-starters with strong independent motivation and the ability to thrive in an independent work environment