Baltimore, MD · On-site +1
Must manage the assigned key client relationships effectively, with swift response time and ... Conduct effective prep and follow-up meetings with investment and executive leaders when meeting ...
Baltimore, MD · On-site +1
Must manage the assigned key client relationships effectively, with swift response time and ... Conduct effective prep and follow-up meetings with investment and executive leaders when meeting ...
Bethesda, MD · On-site
$60K - $80K/yr
... asset manager with a differentiated product that serves the independent broker-dealer and RIA ... You'll ensure operational accuracy, and help manage workflows across the organization. Intellectual ...
Bethesda, MD · On-site
$60K - $80K/yr
... asset manager with a differentiated product that serves the independent broker-dealer and RIA ... You'll ensure operational accuracy, and help manage workflows across the organization. Intellectual ...
Towson, MD · On-site
$75K - $85K/yr
Apply now with 24/7 PT. • Responsibilities:- Manage the full client onboarding process including ... broker-dealer operations and client service experience within financial advisory practice ...
Towson, MD · On-site
$75K - $85K/yr
Apply now with 24/7 PT. • Responsibilities:- Manage the full client onboarding process including ... broker-dealer operations and client service experience within financial advisory practice ...
Chevy Chase, MD · On-site
$85K - $105K/yr
... RIA), investment management firm or broker/dealer. * Professional Financial Designation (CFP ® ... Collaborative Spirit Works effectively across advisor teams, operations, and custodians. Proactive ...
Quick apply
Chevy Chase, MD · On-site
$85K - $105K/yr
... RIA), investment management firm or broker/dealer. * Professional Financial Designation (CFP ® ... Collaborative Spirit Works effectively across advisor teams, operations, and custodians. Proactive ...
Bethesda, MD · On-site
$200 - $350/hr
... operations to drive growth across our Broker-Dealer, RIA, TAMP, and strategic partner channels. This is a hands-on executive leadership role for someone who has successfully built, managed, and ...
Bethesda, MD · On-site
$200 - $350/hr
... operations to drive growth across our Broker-Dealer, RIA, TAMP, and strategic partner channels. This is a hands-on executive leadership role for someone who has successfully built, managed, and ...
... executive reporting, and program management. Working Conditions * Hybrid Office Environment ... and operational needs. Salary may vary above and below the stated amounts, as permitted by ...
... executive reporting, and program management. Working Conditions * Hybrid Office Environment ... and operational needs. Salary may vary above and below the stated amounts, as permitted by ...
Bethesda, MD · On-site
$200K - $250K/yr
... operations to drive growth across our Broker-Dealer, RIA, TAMP, and strategic partner channels. This is a hands-on executive leadership role for someone who has successfully built, managed, and ...
Bethesda, MD · On-site
$200K - $250K/yr
... operations to drive growth across our Broker-Dealer, RIA, TAMP, and strategic partner channels. This is a hands-on executive leadership role for someone who has successfully built, managed, and ...
... efficient operation of the Executive Office and governance functions. * Serve as the primary ... Manage Board meeting calendars, annual governance schedules, and meeting logistics * Coordinate ...
... efficient operation of the Executive Office and governance functions. * Serve as the primary ... Manage Board meeting calendars, annual governance schedules, and meeting logistics * Coordinate ...
... efficient operation of the Executive Office and governance functions. * Serve as the primary ... Manage Board meeting calendars, annual governance schedules, and meeting logistics * Coordinate ...
... efficient operation of the Executive Office and governance functions. * Serve as the primary ... Manage Board meeting calendars, annual governance schedules, and meeting logistics * Coordinate ...
Rockville, MD · On-site
$170 - $200/hr
Regulatory Monitoring & Risk Management Monitor, assess, and communicate regulatory developments ... RIA operations; maintain a risk-based compliance monitoring and testing program aligned with the ...
Rockville, MD · On-site
$170 - $200/hr
Regulatory Monitoring & Risk Management Monitor, assess, and communicate regulatory developments ... RIA operations; maintain a risk-based compliance monitoring and testing program aligned with the ...
Rockville, MD · On-site
Lead the identification, assessment, and mitigation of compliance risks across ISS's RIA operations ... Act as the primary point of contact for the SEC and manage examinations, inspections, and ...
Rockville, MD · On-site
Lead the identification, assessment, and mitigation of compliance risks across ISS's RIA operations ... Act as the primary point of contact for the SEC and manage examinations, inspections, and ...
As a premier global asset management organization with more than 85 years of experience, we provide ... contract and operational compliance, and risk mitigation. * Align T. Rowe Price resources ...
As a premier global asset management organization with more than 85 years of experience, we provide ... contract and operational compliance, and risk mitigation. * Align T. Rowe Price resources ...
Lead the identification, assessment, and mitigation of compliance risks across ISS's RIA operations ... Act as the primary point of contact for the SEC and manage examinations, inspections, and ...
Lead the identification, assessment, and mitigation of compliance risks across ISS's RIA operations ... Act as the primary point of contact for the SEC and manage examinations, inspections, and ...
Rockville, MD · On-site
$170 - $200/hr
Lead the identification, assessment, and mitigation of compliance risks across ISS's RIA operations ... Act as the primary point of contact for the SEC and manage examinations, inspections, and ...
New
Rockville, MD · On-site
$170 - $200/hr
Lead the identification, assessment, and mitigation of compliance risks across ISS's RIA operations ... Act as the primary point of contact for the SEC and manage examinations, inspections, and ...
New
As a premier global asset management organization with more than 85 years of experience, we provide ... contract and operational compliance, and risk mitigation. * Align T. Rowe Price resources ...
As a premier global asset management organization with more than 85 years of experience, we provide ... contract and operational compliance, and risk mitigation. * Align T. Rowe Price resources ...
Hunt Valley, MD · On-site
Administrative Operations * Manage confidential files, records, contracts, and executive documents. * Process expense reports, invoices, and executive reimbursements. * Coordinate logistics for ...
New
Hunt Valley, MD · On-site
Administrative Operations * Manage confidential files, records, contracts, and executive documents. * Process expense reports, invoices, and executive reimbursements. * Coordinate logistics for ...
New
Executive Operations & Leadership Support * Serve as the primary operational support resource for senior leadership and the Program Management Branch (PMB). * Manage and coordinate executive ...
Executive Operations & Leadership Support * Serve as the primary operational support resource for senior leadership and the Program Management Branch (PMB). * Manage and coordinate executive ...
Laurel, MD · On-site
... Executive Operations Assistant to support the CEO, VP of Sales, and overall business operations ... The ideal candidate is technologically proficient, highly organized, capable of managing multiple ...
Quick apply
Laurel, MD · On-site
... Executive Operations Assistant to support the CEO, VP of Sales, and overall business operations ... The ideal candidate is technologically proficient, highly organized, capable of managing multiple ...
... operation. This role also serves as a key client-facing representative for Ports America, leading ... executive communications for customers, governmental agencies, and industry stakeholders.
... operation. This role also serves as a key client-facing representative for Ports America, leading ... executive communications for customers, governmental agencies, and industry stakeholders.
... operation. This role also serves as a key client-facing representative for Ports America, leading ... executive communications for customers, governmental agencies, and industry stakeholders.
... operation. This role also serves as a key client-facing representative for Ports America, leading ... executive communications for customers, governmental agencies, and industry stakeholders.
| 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.
Other
Re-posted 27 days ago
9.1
Based on 21 frontline employees who took The Breakroom Quiz
Role Summary
Responsible for the overall coverage of the home offices national accounts gatekeepers in the Enterprise RIA segment. This includes the development and collaborative implementation of the business strategy for the assigned accounts, including sales and revenue generation, achievement of sales goals, and successful implementation of strategic initiatives with and for client firms. This includes working closely with many of our clients' business teams including investment research, product development, RIA field leadership, marketing, and alternative investments while bringing in appropriate experts and resources from our firm to carry out the business strategy. Must manage the assigned key client relationships effectively, with swift response time and efficient problem resolution, ensuring overall client satisfaction. This role seeks to maintain and grow our AUM with the client firms while appropriately managing expenses and resource allocation.
Responsibilities
Qualifications
Required:
Preferred:
FINRA Requirements
FINRA licenses are required and will be supported for this role.
Work Flexibility
This role is eligible for full-time remote work.
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Funds, trusts and financial programs
5,001 - 10,000 Employees
Baltimore, MD, US
1937
