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Remote Ria Operation Manager Jobs in Texas (NOW HIRING)

Farther

Senior Regional Compliance Associate

Irving, TX · On-site +1

Partner with RIA Managing Directors on advisor coaching opportunities tied to compliance standards ... Track record working with distributed or remote advisor teams Please note: Some regional travel is ...

Farther

Senior Regional Compliance Associate

Irving, TX · On-site +1

Partner with RIA Managing Directors on advisor coaching opportunities tied to compliance standards ... Track record working with distributed or remote advisor teams Please note: Some regional travel is ...

Farther

Senior Regional Compliance Associate

Irving, TX · On-site +1

Partner with RIA Managing Directors on advisor coaching opportunities tied to compliance standards ... Track record working with distributed or remote advisor teams Please note: Some regional travel is ...

Farther

Senior Trading Associate

Dallas, TX · On-site +1

$14.75 - $17.75/hr

Your Impact * Execute and manage trades across RIA advisory accounts and advisory platforms ... Partner with Compliance and Operations leadership to ensure adherence to FINRA, SEC, and firm ...

INCPG

Sales Operations Manager

Dallas, TX · Remote

Sales Operations Manager -Remote/WFH Overview We are seeking a highly motivated Sales Operations Manager to play a pivotal role in connecting our regional field sales and internal operations teams ...

INCPG

Sales Operations Manager

Dallas, TX · Remote

Sales Operations Manager -Remote/WFH Overview We are seeking a highly motivated Sales Operations Manager to play a pivotal role in connecting our regional field sales and internal operations teams ...

KBR

Operations Manager (Mental Health)

Houston, TX · On-site +1

Remote - U.S.time type: Full timeposted on: Posted Todayjob requisition id: R2120372 Title: Operations Manager (Mental Health)**BELONG. CONNECT. GROW. with KBR.****Around here, we define the future.

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Remote Ria Operation Manager information

What are the key skills and qualifications needed to thrive as a Remote Ria Operation Manager, and why are they important?

To thrive as a Remote Ria Operation Manager, you need expertise in operations management, financial services regulations, and risk assessment, often supported by a bachelor's degree in finance, business, or a related field. Familiarity with regulatory compliance tools, CRM platforms, and financial management systems such as Salesforce or Envestnet is typically required. Strong leadership, problem-solving abilities, and excellent communication skills help you coordinate remote teams and ensure smooth operations. These competencies are vital for maintaining compliance, optimizing workflow, and delivering high-quality service in a remote Registered Investment Advisor (RIA) environment.

What are the most common challenges faced by a Remote Ria Operation Manager and how can they be addressed?

Remote Ria Operation Managers often face challenges related to coordinating teams across different time zones, maintaining regulatory compliance, and ensuring smooth transaction processing. Effective communication tools and clear protocols are essential to keep remote teams aligned and responsive. Regular training on compliance standards and implementing automated monitoring can help mitigate risks. Proactively fostering a collaborative culture and setting clear expectations also contribute to overcoming obstacles and achieving operational efficiency.

What are Remote Ria Operation Managers?

Remote Ria Operation Managers oversee the operations of money transfer services, typically for Ria Money Transfer, from a remote location. They are responsible for managing teams, ensuring compliance with regulations, optimizing transaction processes, and improving customer service standards. Their role includes monitoring daily activities, coordinating with different departments, and implementing best practices for efficiency and security. Working remotely, they use digital tools to supervise staff, analyze performance metrics, and address any operational challenges. This position requires strong organizational, communication, and problem-solving skills.
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Senior Regional Compliance Associate

Senior Regional Compliance Associate

Farther

Irving, TX • On-site, Remote

Full-time

Medical, Retirement, PTO

Posted 29 days ago

Job description

Company Description
Farther is a rapidly growing RIA that combines expert advisors with cutting-edge technology - delivering a comprehensive, tailored wealth management experience.
Farther's founders are leaders and innovators from the private wealth industry who possess a unique blend of traditional wealth management, fintech, and technology production expertise. We're backed by top-tier venture capital firms, fintech investors, and industry leaders.
Joining Farther means joining a collaborative team of entrepreneurs who are passionate about helping their clients and our teammates achieve more. If you're the type who breaks through walls to get things done the right way, we want to build the future of wealth management with you.
The Role
Farther is looking for a sharp, detail-oriented compliance professional to join our growing team as a Senior Regional Compliance Associate. In this role, you'll be embedded in one of our geographic regions, serving as the day-to-day compliance resource for a distributed network of advisors. You'll sit within the Compliance function and partner closely with business leadership across the firm to make sure our advisors can focus on what they do best, serving clients, while we keep the guardrails tight.
Your Impact
  • Serve as the primary compliance resource for your assigned region, supporting advisors and partnering with business leadership on supervisory matters
  • Conduct regular reviews of trade blotters, correspondence, marketing materials, and attestations
  • Review and approve outside business activities, brokerage accounts, gifts, and entertainment for registered personnel
  • Provide guidance, training, and direction on compliance-related matters to advisors across your region
  • Investigate, document, and help resolve client complaints in coordination with the broader Compliance team
  • Support regulatory examinations, internal audits, and ongoing Compliance initiatives
  • Produce regular supervisory reports and close the feedback loop with advisors on activity, productivity, and logging
  • Partner with RIA Managing Directors on advisor coaching opportunities tied to compliance standards

The Ideal Match
  • 5+ years of financial services experience in a compliance or supervisory role, with demonstrated experience conducting principal-level or OSJ supervisory review
  • Active Series 66 and Series 24 in good standing
  • Comprehensive knowledge of FINRA and SEC rules and regulations
  • High attention to detail, sound judgment, and integrity when handling sensitive or escalated matters
  • Bachelor's degree or higher

Bonus Points
  • Series 7 and Series 9/10 previously held or currently active
  • Experience supporting regulatory examinations or internal audits at an RIA or broker-dealer
  • Familiarity with compliance technology platforms and surveillance tools
  • Background in a regulated financial services environment with OSJ or branch examination experience
  • Track record working with distributed or remote advisor teams

Please note: Some regional travel is required (~30%) and working hours may vary depending on the region you support.Why Join Us
  • Competitive comp package that rewards impact
  • Work alongside some of the brightest minds in fintech
  • Ground-floor opportunity at a fast-scaling startup
  • Chart your own growth path as we expand
  • Full health benefits + 401(k) matching & Roth IRA options
  • Unlimited PTO

Ready to disrupt wealth management? Let's talk!
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About Farther

Sourced by ZipRecruiter

Farther is a new kind of financial institution: combining expert advisors and cutting-edge technology to deliver a comprehensive, tailored wealth management experience. Farther empowers advisors to deliver exceptional value to their clients -- on their own terms. We're here to help established advisors scale, providing everything they need to succeed from technology to client support and from marketing to mentoring. To deliver on that goal, we've reimagined what a wealth management platform delivers, allowing clients to easily find a financial advisor and communicate how and when they want, to customize, invest, and professionally manage their entire financial lives in one place, and to automatically squeeze more out of every hard-earned dollar to reduce their tax bills. In other words, we help our clients go Farther. Farther's founders are leaders and innovators from the private wealth industry and possess a unique mix of traditional wealth management, fintech, and technology production expertise. We're backed by top tier venture capital firms, fintech investors, and industry leaders. Joining Farther means joining a collaborative team of entrepreneurs and builders who are passionate about helping our clients and our teammates achieve more. If you're the type who breaks through walls to get things done the right way, we want to go farther with you.

Industry

Finance and insurance

Company size

51 - 200 Employees

Headquarters location

New York, NY, US

Year founded

2019

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