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Ria Firm Jobs in Raleigh, NC (NOW HIRING)

Simplicity Group Holdings

Sr. Sales Assistant

Durham, NC · On-site

$65K - $76K/yr

We are a growing independent Registered Investment Advisory (RIA) firm committed to providing exceptional financial planning and investment management services to individuals, families, and business ...

Simplicity Group Holdings

Sr. Sales Assistant

Durham, NC · On-site

$65K - $76K/yr

We are a growing independent Registered Investment Advisory (RIA) firm committed to providing exceptional financial planning and investment management services to individuals, families, and business ...

CAPTRUST

Senior Compliance Manager

Raleigh, NC · On-site

The Senior Compliance Manager serves as the firm's subject matter expert for broker-dealer ... Minimum of 10-15 years of progressive broker-dealer and RIA compliance experience, with deep, hands ...

CAPTRUST

Senior Compliance Manager

Raleigh, NC

The Senior Compliance Manager serves as the firm's subject matter expert for broker-dealer ... Minimum of 10-15 years of progressive broker-dealer and RIA compliance experience, with deep, hands ...

First Citizens Bank

Manager Compliance II EA IS

Raleigh, NC · On-site +1

$155K - $175K/yr

Lead and enhance the firm's Complaint Management Program, across BD, RIA, and Insurance businesses * Oversee the complaint investigations, escalation, and resolution, directly handling high-risk ...

First Citizens Bank

Manager Compliance II EA IS

Raleigh, NC · On-site +1

$155K - $175K/yr

Lead and enhance the firm's Complaint Management Program, across BD, RIA, and Insurance businesses * Oversee the complaint investigations, escalation, and resolution, directly handling high-risk ...

NorthPoint Search Group

Tax Senior

Raleigh, NC · On-site

... growth of the firm's Raleigh tax practice and benefiting from significant long-term career ... RIA, or Engagement is a plus. • Strong project management, leadership skills, urgency, and ...

NorthPoint Search Group

Public Tax Senior

Raleigh, NC · On-site

... firm culture. Key Responsibilities: • Review federal and multi-state tax returns. • Research ... CCH, RIA, or Engagement is a plus. • Strong project management, leadership, and communication ...

Baker Donelson

Legal Research Analyst

Raleigh, NC · On-site

Beyond day-to-day reference support, the Analyst shapes how the Firm discovers, evaluates, and ... Checkpoint RIA, HeinOnline, Drafting Assistant, Quest, and TLO. Technology fluency, with ...

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All JobsRia Firm JobsRia Firm Jobs in Raleigh, NC

Ria Firm information

See Raleigh, NC salary details

$40.3K

$147K

$262K

How much do ria firm jobs pay per year?

As of Sep 1, 2026, the average yearly pay for ria firm in Raleigh, NC is $146,981.00, according to ZipRecruiter salary data. Most workers in this role earn between $108,400.00 and $179,800.00 per year, depending on experience, location, and employer.

What is an RIA firm?

A RIA firm, or Registered Investment Adviser firm, is a company that provides investment advice and financial planning services to clients. These firms are registered with either the Securities and Exchange Commission (SEC) or state securities authorities, depending on their size and assets under management. RIA firms have a fiduciary duty to act in their clients' best interests, offering personalized investment strategies and financial guidance. They typically charge fees based on assets managed rather than commissions, which helps align their interests with those of their clients.

What are the typical collaboration dynamics within a team at an RIA firm, and how do they impact daily responsibilities?

At a Registered Investment Advisor (RIA) firm, team collaboration is highly valued, as professionals like advisors, analysts, and compliance officers frequently work together to deliver tailored client solutions. Daily responsibilities often include coordinating with colleagues to review investment strategies, discuss client needs, and ensure regulatory compliance. Open communication channels and regular team meetings are common, helping to foster a collaborative environment where knowledge-sharing and problem-solving are encouraged. This teamwork not only streamlines workflow but also enhances the quality of service provided to clients.

What are the key skills and qualifications needed to thrive as a financial advisor at a firm like RIA, and why are they important?

To thrive as a Financial Advisor, you need a deep understanding of investment strategies, financial planning, and relevant regulatory requirements, often supported by a bachelor's degree in finance or a related field and certifications like the CFP. Familiarity with financial planning software, CRM systems, and compliance platforms is essential. Strong interpersonal skills, active listening, and ethical judgment help build client trust and long-term relationships. These skills ensure advisors can effectively guide clients toward their financial goals while adhering to industry regulations and maintaining high service standards.

What is the difference between Ria Firm vs Ria Customer Service Representative?

AspectRia FirmRia Customer Service Representative
CredentialsBusiness licenses, legal compliance knowledgeCustomer service training, communication skills
Work EnvironmentOffice, legal or financial settingCall center, customer support center
Industry UsageFinancial services, money transferFinancial services, customer support

Ria Firm typically refers to a legal or financial entity involved in money transfer or compliance, requiring business licenses and legal knowledge. Ria Customer Service Representative focuses on assisting clients with transactions and inquiries, working mainly in call centers. While both roles operate within the financial services industry, their responsibilities and credentials differ significantly.

What are the most commonly searched types of Ria Firm jobs in Raleigh, NC?

The most popular types of Ria Firm jobs in Raleigh, NC are:

What are popular job titles related to Ria Firm jobs in Raleigh, NC?

For Ria Firm jobs in Raleigh, NC, the most frequently searched job titles are:

What job categories do people searching Ria Firm jobs in Raleigh, NC look for?

The top searched job categories for Ria Firm jobs in Raleigh, NC are:

What cities near Raleigh, NC are hiring for Ria Firm jobs?

Cities near Raleigh, NC with the most Ria Firm job openings:

Ria Firm jobs near you
Infographic showing various Ria Firm job openings in Raleigh, NC as of August 2026, with employment types broken down into 84% Full Time, 8% Part Time, and 8% Contract. Highlights an 84% Physical, 6% Hybrid, and 10% Remote job distribution, with an average salary of $146,981 per year, or $70.7 per hour.

Wealth Advisor (Raleigh, NC)

Raleigh, NC

Mercer Advisors
Finance and Insurance • 201 - 500 employees

8.9

Company rating: 8.9 out of 10

Based on 5 frontline employees who took The Breakroom Quiz

People enjoy working here

Good employer

Respectful managers

Learn more about Mercer Advisorsexternal

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 19 hours ago

Job description

Why Work at Mercer Advisors?

For more than 40 years, Mercer Advisors has been helping families amplify and simplify their financial lives by integrating financial planning, investment management, business management, tax, estate, insurance, and more, all managed by a single team. We deliver the kind of comprehensive care once reserved for only the wealthiest households.

Today, we serve over 42,800+ families across 110+ cities across the U.S. Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an independent fiduciary legally bound to act in our clients' best interests — always.*

Mercer Advisors offers a workplace that stands apart in the financial industry. More than half of our employees and client-facing professionals are women, reflecting the clients we serve. With a flexible, national footprint, we build our teams around exceptional talent — wherever they are.

Join us and help families amplify and simplify their financial lives with confidence.

* Mercer Advisors was ranked #1 for RIA firms with up to $70 billion in assets. The Barron's top RIA ranking is based on a combination of metrics – including size, growth, service quality, technology, succession planning and others. No fee was paid for participation in the ranking, however, Mercer Advisors has paid a fee to Barron's to use the ranking in marketing. Please see important information about the ranking criteria methodology here.

Job Summary:

The Wealth Path Wealth Advisor works in a client-focused, team-centered environment under the direction of one of the firm's Managing Directors and Wealth Path leadership to support the team's region-wide business development and client service efforts. 

Essential Job Functions for the Wealth Advisor will include:

  • Functioning as the primary trusted advisor to a book of 150-250 Wealth Path clients
  • Ensuring retention of the firm's clients and bringing in additional assets from existing clients to move clients from Wealth Path into Custom Wealth
  • Successful onboarding or transitioning of 10-50 new clients a year to obtain a client book size of 250 clients
  • Supporting the team's Regional Vice Presidents and Managing Directors as a subject matter expert (SME) in the areas of investments, tax, pension, estate, insurance, and general financial planning
  • Analyzing, drafting, editing, delivering, and presenting financial planning modules to clients
  • Managing client communications and follow-up with clients' other advisors
  • Ensuring adherence to company standards of client care, 1 annual meeting, referrals and retention
  • Attending company workshops or lectures and speak to groups of potential clients when called upon
  • Implementing company policies and procedure
  • Other duties as needed

Required Knowledge, Skills and Abilities:

Education:

  • Bachelor's degree from an accredited institution (preferably Business, Economics, Accounting or Finance related); Master's degree a plus

Experience:

  • Five to twenty-five years of job-related experience

Certifications:

  • Certified Financial Planner (CFP) designation; additional certifications Chartered Financial Consultant (ChFC), Personal Financial Specialist (PFS), Chartered Financial Analyst (CFA) or Chartered Investment Consultant (CIC) would be considered
  • Specialized expertise preferred but not mandatory. Examples, include but not limited to CPA, PFS, JD, CFA, PhD, MS, MBA, MTx, CDFA, CRPC, MSFS, CIMA, AEF, ChFC, CLU, AIF or CPWA.

Job Skills:

  • Strong knowledge of and the ability to present investment, finance, insurance, and tax planning concepts
  • Has achieved core knowledge of job skills; may spend 50% or more time on Financial Planning
  • Excellent Client Focus and client-oriented position, but sales aptitude and experience is also highly desired
  • Continually seeks to enhance job knowledge, learn quickly and efficiently
  • Must be a humble, entrepreneurial, hardworking team player with a positive "can do" attitude
  • Proficiency with MS Word, Excel, PowerPoint, and Outlook; experience with Salesforce and financial planning software preferred
  • Technical and analytical training and experience in financial planning
  • Demonstrated flexibility, versatility, and ability to manage multiple priorities and deliver to tight deadlines in a team environment
  • Ability to work without close supervision managing and prioritizing deliverables
  • Must be highly flexible and confidential with all matters
  • Ability to travel up to 50% as required for local and national client meetings; plus, to national educational trainings and seminars as needed for role

Competencies:

Business & Technological Knowledge

Industry Experience

Advanced knowledge of the industry, financial products, and financial planning concepts

Economic Landscape

Advanced knowledge of the economic landscape/general understanding of impact on the Firm and clients

Business Ops - CSU

Strong working/core understanding of CSU Operations

SO's - FWS

Can generate and review performance reports and present recommendations to client relationship manager

SO's - FP

Advanced knowledge of financial planning concepts and Firm's services/offerings; Financial Planning software and comparison tools; provides project management of client assignments; can analyze, draft, edit, deliver, and present financial planning modules to clients

Wealth Management

Strong core understanding of our investments and ISG; perform asset allocation and analysis for portfolio reviews/investment research; Can prepare reports to illustrate trends and possible risks of various investment opportunities

Core Tech/Platforms

Expert use of all Core Technology (Microsoft Office, Box, Custodian Sites, Task Mgmt tools, Salesforce, Docusign)

Compliance

Comprehensive understanding of compliance requirements

INTERPERSONAL EFFECTIVENESS

Teamwork & Collaboration

Role model for cross-Firm teamwork and collaboration

Work Environment

Role model for contributing to a positive work environment

Balancing Priorities

Balances competing priorities and manages time pressures with composure

Trustworthiness

Instills trust across the Firm as someone who can be counted on for honesty, integrity, and reliability

Professional Presence

If needed, can facilitate aspects of client, team meetings and internal trainings; participates appropriately in business/social functions

Communications

Presents oral and written communications in a concise and well-organized form

CLIENT FOCUS & ACCOUNTABILITY

Client Service

Assists in the development of materials for client meetings and follow-ups. Proactively seeks opportunities to provide support to Wealth Advisors

Resource Coordination

Begins to establish internal resource channels needed to deliver high quality work on a timely basis

Growth Mindset

Can play a supporting role in business development activity/activities; beginning to build a network of business contacts in the market

Quality

Takes responsibility for ensuring work quality

LEADERSHIP

Guiding Principles

Consistently demonstrates full commitment to Firm vision and values

Talent Development & Team Leadership

Formally involved in training, coaching, and mentoring more junior employees; leads planners in the production of client deliverables; ensures that planners are developing.  Seeks new leadership opportunities.

Innovation & Change Management

Identifies opportunities for improvement and proposes solutions

Firm-building

Represents the Firm in a professional manner

Driving Results

Partners with others to support achievement of KPI goals

Work Schedule:   Business hours Monday through Friday.

Working Conditions:  Professional office environment.  Working inside.  Standing and sitting.  Will be assigned to a work station. Travel assumed at up to 50% of the time for client needs and/or required internal or external trainings.

#LI-Hybrid

The annualized base salary range for this role is based on factors including, but not limited to, experience, skillset, and geographic location where work is performed. In addition to base salary, this position is also eligible to earn an annual bonus and other incentive compensation.

This position may also be eligible for a comprehensive benefits package, which includes:

  1. Medical, dental, and vision coverage
  2. Life insurance
  3. 401(k) contributions
  4. Health Savings Account (HSA)
  5. Short- and long-term disability
  6. Additional benefits designed to support your health and financial well-being
Base Pay Range
$85,000—$145,000 USD

Benefits:

Mercer Advisors offers a competitive and robust benefit package to our employees.   Our benefit programs are focused on meeting all of our employees and their eligible dependents health and welfare needs. We offer the following:

  • Company Paid Basic Life & AD&D Insurance
  • Company Paid Short-Term and Long-Term Disability Insurance
  • Supplemental Life & AD Short-Term Disability; Accident; Critical Illness; and Hospital Indemnity Insurance
  • Three Cigna medical plans offerings including two High Deductible Health Plans and a Traditional Co-Pay medical plan.
  • Kaiser Medical plans available in California
  • Health Savings Account (HSA) with company contributions if enrolled in either HDHP medical plan.
  • Two comprehensive Dental Plans
  • Vision Insurance Plan
  • Dependent Care Savings Account for child and dependent care.
  • 14 Company Paid Holidays including a full week off at Thanksgiving.
  • Generous paid time off program for vacation and sick days
  • Employee Assistance Plan
  • Family Medical Leave
  • Paid Parental Leave (8 weeks)
  • Maternity benefits utilizing company paid STD, any supplemental STD, plus Parental Leave (8 weeks) to provide time for recovery, baby bonding, and enjoying your family time.
  • Adoption Assistance Reimbursement Program
  • Company Paid Concierge Services for you and your loved ones for the spectrum of caring needs for your aging parents, young children, life's challenges and more.
  • 401(k) Retirement Plan with both Traditional and Roth plans with per pay period match as well as an after-tax option
  • Pet Insurance
  • Personalized financial planning and guidance from Mercer Advisors professionals, offered at preferred employee pricing

We are not accepting unsolicited resumes from agencies and/or search firms for this job posting.

Mercer Advisors is an equal opportunity employer and does not discriminate on the basis of any characteristic protected by applicable federal, state, or local law. Mercer Advisors participates in E-Verify and complies with federal employment eligibility verification requirements.

If you need an accommodation during the application or hiring process, please email PeopleTeam@merceradvisors.com. This inbox is for accommodation requests only.

For information about applicant rights, required employment notices, E-Verify participation, and state specific disclosures, please review our Applicant Notices and Employment Rights.

If you are a resident of California, learn more about Mercer's California Consumer Privacy Policy here.
CCPA Notice at Collection

If you are a resident of Washington State, learn more about your rights under the Washington Fair Chance Act here.

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