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Manager Ria Firm Jobs in Massachusetts (NOW HIRING)

PeopleFluent

Chief Compliance Officer

Boston, MA · On-site

... for RIA's and detailed experience with 1940 Act (Mutual Funds). Key Responsibilities: * Develop a detailed understanding of firm's business to manage compliance and federal securities law and ...

Berkshire Bank

Operations Specialist

Boston, MA · On-site

$21.55 - $36.63/hr

... Firm (RIA). The role is primarily responsible for managing client onboarding, account maintenance and other custodial requests through our designated custodian, Charles Schwab. The ideal candidate ...

PeopleFluent

Chief Compliance Officer

Boston, MA

... for RIA's and detailed experience with 1940 Act (Mutual Funds). Key Responsibilities: * Develop a detailed understanding of firm's business to manage compliance and federal securities law and ...

Victory Capitel

Senior Regional Director

Boston, MA · On-site

Victory Capital (NASDAQ: VCTR) is a diversified global asset management firm. We serve ... the RIA Market Segment. The Sr. Regional Director a Wealth Advisor Specialist will provide ...

TA Realty LLC

Compliance Analyst

Boston, MA · On-site

$75K - $85K/yr

... RIA") with the Securities and Exchange Commission ("SEC")), internal policy and procedures ... Compliance Platform Management: * * Support administration of the Firm's compliance software ...

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Manager Ria Firm information

What is the difference between Manager Ria Firm vs Financial Advisor?

AspectManager Ria FirmFinancial Advisor
CredentialsSeries 7, 66, or 65 licenses, CFP certification often preferredSeries 7, 66, or 65 licenses, CFP certification common
Work EnvironmentManages firm operations, oversees advisors, complianceProvides personalized financial planning and investment advice
Employer & IndustryRia firms, financial services industryIndependent or firm-based financial advisory firms

While both roles require similar licenses and certifications, a Manager Ria Firm oversees the firm's operations and compliance, whereas a Financial Advisor focuses on client financial planning and investment advice. The Manager Ria Firm role is more managerial and administrative, while the Financial Advisor role is client-facing and advisory-focused.

What are the most commonly searched types of Ria Firm jobs in Massachusetts? The most popular types of Ria Firm jobs in Massachusetts are:
What cities in Massachusetts are hiring for Manager Ria Firm jobs? Cities in Massachusetts with the most Manager Ria Firm job openings:
Manager Ria Firm jobs near you
Chief Compliance Officer

Chief Compliance Officer

PeopleFluent

Boston, MA • On-site

Full-time

Medical, Dental, Life, Retirement

Re-posted 3 days ago

Job description

We are a growing Registered Investment Advisory firm located in downtown Boston. Our primary distribution channels are in the US broker-dealer and investment advisor marketplace. We are seeking a Chief Compliance Officer who can provide advisory oversight in all facets of our business. The ideal candidate will have extensive knowledge of today's compliance environment for RIA's and detailed experience with 1940 Act (Mutual Funds).
Key Responsibilities:
  • Develop a detailed understanding of firm's business to manage compliance and federal securities law and regulations for mutual funds, separately managed accounts, and variable insurance trusts.
  • Ensure advertising/marketing materials for products and their use by Sales & Marketing are compliant with applicable regulatory requirements
  • ADV Reviews and Updates
  • Prospectus, Annual Reports, SAI filings and Updates
  • Onboarding new personnel with FINRA Registrations/Compliance Meetings/Training Materials/Code of Ethics/Compliance Manual
  • Lead person for audits, legal, and business partners for ongoing business changes, and regulatory expectations
  • Develop and implement effective surveillance oversight for sales, marketing, trading, products
  • Prepare Board Report and presentation

Requirements:
  • Bachelor's Degree
  • Strong knowledge of legal requirements
  • Requires attention to detail, as well as the ability to work independently
  • Strong analytical and problem-solving skills
  • Ability to multi-task, meet deadlines
  • Excellent verbal and written communications skills
  • Compensation is commensurate with experience

Benefits:
  • Company paid competitive benefits package, including health, dental, life insurance, disability insurance, and 401(k).
Seniority Level
Mid-Senior level
Industry
  • Investment Management
Employment Type
Full-time
Job Functions
  • Finance
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