... operations. This is a hands-on position building a compliance program with the support of the ... Comfortable managing and communicating with executive stakeholders and regulatory bodies #J-18808 ...
... operations. This is a hands-on position building a compliance program with the support of the ... Comfortable managing and communicating with executive stakeholders and regulatory bodies #J-18808 ...
Office Manager - Financial Services - Roswell, GA
Roswell, GA · On-site
$83K - $109K/yr
Candidates must demonstrate a strong understanding of RIA operations, regulations, and client ... Manage incoming/outgoing mail, supplies and scheduling * Assist with filing compliance ...
Office Manager - Financial Services - Roswell, GA
Roswell, GA · On-site
$83K - $109K/yr
Candidates must demonstrate a strong understanding of RIA operations, regulations, and client ... Manage incoming/outgoing mail, supplies and scheduling * Assist with filing compliance ...
Office Manager - Financial Services - Roswell, GA
$83K - $109K/yr
Candidates must demonstrate a strong understanding of RIA operations, regulations, and client ... Manage incoming/outgoing mail, supplies and scheduling * Assist with filing compliance ...
Office Manager - Financial Services - Roswell, GA
$83K - $109K/yr
Candidates must demonstrate a strong understanding of RIA operations, regulations, and client ... Manage incoming/outgoing mail, supplies and scheduling * Assist with filing compliance ...
Residential Inspector of America (RIA) is hiring an Account Executive to drive new business and ... Manage a healthy sales pipeline and consistently drive year-over-year revenue growth * Conduct in ...
Quick apply
Residential Inspector of America (RIA) is hiring an Account Executive to drive new business and ... Manage a healthy sales pipeline and consistently drive year-over-year revenue growth * Conduct in ...
Account Executive
Atlanta, GA · On-site
Residential Inspector of America (RIA) is hiring an Account Executive to drive new business and ... Manage a healthy sales pipeline and consistently drive year-over-year revenue growth * Conduct in ...
Account Executive
Atlanta, GA · On-site
Residential Inspector of America (RIA) is hiring an Account Executive to drive new business and ... Manage a healthy sales pipeline and consistently drive year-over-year revenue growth * Conduct in ...
Account Executive
Atlanta, GA · On-site
Residential Inspector of America (RIA) is hiring an Account Executive to drive new business and ... Manage a healthy sales pipeline and consistently drive year-over-year revenue growth * Conduct in ...
Account Executive
Atlanta, GA · On-site
Residential Inspector of America (RIA) is hiring an Account Executive to drive new business and ... Manage a healthy sales pipeline and consistently drive year-over-year revenue growth * Conduct in ...
You will work with the executive team and external consultants to ensure SEC compliance and ... You will lead risk assessments, oversee Form ADV filings, and manage AML/KYC, privacy ...
You will work with the executive team and external consultants to ensure SEC compliance and ... You will lead risk assessments, oversee Form ADV filings, and manage AML/KYC, privacy ...
CEO/Operations Manager
Alpharetta, GA · On-site
CEO/Operations Manager, Alpharetta, GA Prefer prior experience with eCommerce Technology but will consider the right candidate. This CEO/Operations Manager position is a 100% onsite opportunity and ...
CEO/Operations Manager
Alpharetta, GA · On-site
CEO/Operations Manager, Alpharetta, GA Prefer prior experience with eCommerce Technology but will consider the right candidate. This CEO/Operations Manager position is a 100% onsite opportunity and ...
Catering Operations Manager
Atlanta, GA · On-site
$50K - $55K/yr
Paid time off Catering Operation Manager Company: Social Express Catering & Meal Prep (SECMP ... Early mornings required; some weekends/evenings depending on business needs Reports To: COO + CEO ...
Quick apply
Catering Operations Manager
Atlanta, GA · On-site
$50K - $55K/yr
Paid time off Catering Operation Manager Company: Social Express Catering & Meal Prep (SECMP ... Early mornings required; some weekends/evenings depending on business needs Reports To: COO + CEO ...
Catering Operations Manager
$50K - $55K/yr
Catering Operation Manager Company: Social Express Catering & Meal Prep (SECMP) Location: Metro ... Early mornings required; some weekends/evenings depending on business needs Reports To: COO + CEO ...
Quick apply
Catering Operations Manager
$50K - $55K/yr
Catering Operation Manager Company: Social Express Catering & Meal Prep (SECMP) Location: Metro ... Early mornings required; some weekends/evenings depending on business needs Reports To: COO + CEO ...
Catering Operations Manager
$50K - $55K/yr
Catering Operation Manager Company: Social Express Catering & Meal Prep (SECMP) Location: Metro ... Early mornings required; some weekends/evenings depending on business needs Reports To: COO + CEO ...
Quick apply
Catering Operations Manager
$50K - $55K/yr
Catering Operation Manager Company: Social Express Catering & Meal Prep (SECMP) Location: Metro ... Early mornings required; some weekends/evenings depending on business needs Reports To: COO + CEO ...
EVP of Operations
Alpharetta, GA · On-site
The EVP will lead strategic initiatives, manage cross-functional teams, and drive innovation ... Minimum 10 years of senior leadership experience in operations within a high-growth RIA or hybrid ...
Quick apply
EVP of Operations
Alpharetta, GA · On-site
The EVP will lead strategic initiatives, manage cross-functional teams, and drive innovation ... Minimum 10 years of senior leadership experience in operations within a high-growth RIA or hybrid ...
Executive VA
Atlanta, GA · On-site
Executive Virtual Assistant with SMM and Digital/Email Marketing Experience Location: Remote ... Final Interview with the Operations Manager: The final stage involves a 1-on-1 discussion with our ...
Executive VA
Atlanta, GA · On-site
Executive Virtual Assistant with SMM and Digital/Email Marketing Experience Location: Remote ... Final Interview with the Operations Manager: The final stage involves a 1-on-1 discussion with our ...
Executive Coordinator
$25 - $34/hr
Can you efficiently manage executive priorities while ensuring seamless office operations and administration? ** IMPORTANT: TO APPLY ** If you have any questions, please email recruit@crisp.co only.
Executive Coordinator
$25 - $34/hr
Can you efficiently manage executive priorities while ensuring seamless office operations and administration? ** IMPORTANT: TO APPLY ** If you have any questions, please email recruit@crisp.co only.
Operations Manager
Atlanta, GA · On-site
$2.5K - $5.0K/mo
The Operations Manager (also known as an executive administrator or chief executive assistant) is the right-hand & strategic thought-partner focused on planning, organizing, executing the Chief ...
Quick apply
Operations Manager
Atlanta, GA · On-site
$2.5K - $5.0K/mo
The Operations Manager (also known as an executive administrator or chief executive assistant) is the right-hand & strategic thought-partner focused on planning, organizing, executing the Chief ...
VP, Osaic Advisors Channel Compliance
Atlanta, GA · Hybrid
$170K - $200K/yr
... RIA requirements from existing independent contractor policies, procedures, supervision, escalation paths, and operational expectations. * Advise, collaborate and educate executive and management ...
VP, Osaic Advisors Channel Compliance
Atlanta, GA · Hybrid
$170K - $200K/yr
... RIA requirements from existing independent contractor policies, procedures, supervision, escalation paths, and operational expectations. * Advise, collaborate and educate executive and management ...
VP, Osaic Advisors Channel Compliance
Atlanta, GA · Hybrid
$170K - $200K/yr
... RIA requirements from existing independent contractor policies, procedures, supervision, escalation paths, and operational expectations. * Advise, collaborate and educate executive and management ...
VP, Osaic Advisors Channel Compliance
Atlanta, GA · Hybrid
$170K - $200K/yr
... RIA requirements from existing independent contractor policies, procedures, supervision, escalation paths, and operational expectations. * Advise, collaborate and educate executive and management ...
VP, Osaic Advisors Channel Compliance
Atlanta, GA · Hybrid
$170K - $200K/yr
... RIA requirements from existing independent contractor policies, procedures, supervision, escalation paths, and operational expectations. Advise, collaborate and educate executive and management teams ...
VP, Osaic Advisors Channel Compliance
Atlanta, GA · Hybrid
$170K - $200K/yr
... RIA requirements from existing independent contractor policies, procedures, supervision, escalation paths, and operational expectations. Advise, collaborate and educate executive and management teams ...
VP, Osaic Advisors Channel Compliance
Atlanta, GA · On-site
$170K - $200K/yr
... RIA requirements from existing independent contractor policies, procedures, supervision, escalation paths, and operational expectations. * Advise, collaborate and educate executive and management ...
VP, Osaic Advisors Channel Compliance
Atlanta, GA · On-site
$170K - $200K/yr
... RIA requirements from existing independent contractor policies, procedures, supervision, escalation paths, and operational expectations. * Advise, collaborate and educate executive and management ...
Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Service[...]
Atlanta, GA · On-site
$200 - $290/hr
... RIA) compliance program and serving as the primary regulatory‑facing executive for the firms ... Policies and procedures management: Own the maintenance cycle for compliance‑owned written ...
Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Service[...]
Atlanta, GA · On-site
$200 - $290/hr
... RIA) compliance program and serving as the primary regulatory‑facing executive for the firms ... Policies and procedures management: Own the maintenance cycle for compliance‑owned written ...
Executive Ria Operation Manager information
What is the difference between Executive Ria Operation Manager vs Ria Compliance Officer?
| Aspect | Executive Ria Operation Manager | Ria Compliance Officer |
|---|---|---|
| Credentials | Relevant certifications in money transfer and management | Compliance certifications like CAMS or CRCM |
| Work Environment | Oversees daily operations of Ria money transfer services | Focuses on regulatory compliance and risk management |
| Employer & Industry Usage | Used in financial services and remittance companies | Common in financial institutions and money transfer firms |
| Search & Comparison Intent | Understanding operational roles in Ria | Understanding compliance responsibilities in Ria |
The Executive Ria Operation Manager primarily oversees daily operations and ensures efficient service delivery within Ria, while the Ria Compliance Officer focuses on regulatory adherence and risk mitigation. Both roles require financial certifications but differ in their core responsibilities and focus areas within the money transfer industry.
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Full-time
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Job description
We've partnered with a fast-growing RIA that is looking for a CCO to join their close-knit team as they continue to expand their presence and operations.
This is a hands-on position building a compliance program with the support of the executive team and external consultancy.
What you'll be doing:
- Building the compliance program from the ground up, covering all core compliance activities, ensuring compliance with SEC and state regulations, overseeing Form ADV filings and acting as the primary contact for regulatory examinations and inquiries.
- Conduct compliance risk assessments, investigations and remediation efforts to mitigate regulatory and operational risk.
- Oversee testing, monitoring, and annual reviews of compliance programs, presenting findings to the CEO, President and Board
- Implement robust AML/KYC, privacy, cybersecurity, and code-of-ethics frameworks aligned with SEC standards
- Review and approve all marketing and sales materials to ensure regulatory compliance across RIA channels.
- Leverage compliance technology platforms to manage reporting, monitor employee activities, streamline compliance workflows and maintain regulatory records.
What they're looking for:
- Bachelor's degree level educated
- 6+ years of compliance experience, working within a RIA or dual-registered BD/RIA firm
- Extensive experience with the Advisers Act and pertinent SEC rules and regulations
- Comfortable managing and communicating with executive stakeholders and regulatory bodies