Director of Brokerage and RIA Operations If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable ...
Quick apply
Director of Brokerage and RIA Operations If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable ...
Quick apply
Director of Brokerage and RIA Operations If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable ...
Director of Brokerage and RIA Operations If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable ...
Quick apply
Director of Brokerage and RIA Operations If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable ...
Director of Brokerage and RIA Operations If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable ...
Quick apply
Director of Brokerage and RIA Operations If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable ...
Dallas, TX · On-site
$90K - $110K/yr
Medical
Dental
Vision
Life
Retirement
PTO
The Senior RIA Operations Consultant serves as a trusted operational partner to advisors and advisory teams, delivering hands-on support while also driving operational enablement, training, and ...
Quick apply
Dallas, TX · On-site
$90K - $110K/yr
Medical
Dental
Vision
Life
Retirement
PTO
The Senior RIA Operations Consultant serves as a trusted operational partner to advisors and advisory teams, delivering hands-on support while also driving operational enablement, training, and ...
Tampa, FL · On-site
$90K - $110K/yr
Medical
Dental
Vision
Life
Retirement
PTO
The Senior RIA Operations Consultant serves as a trusted operational partner to advisors and advisory teams, delivering hands-on support while also driving operational enablement, training, and ...
Quick apply
Tampa, FL · On-site
$90K - $110K/yr
Medical
Dental
Vision
Life
Retirement
PTO
The Senior RIA Operations Consultant serves as a trusted operational partner to advisors and advisory teams, delivering hands-on support while also driving operational enablement, training, and ...
Director of Brokerage and RIA Operations If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable ...
Quick apply
Director of Brokerage and RIA Operations If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable ...
Director of Brokerage and RIA Operations If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable ...
Quick apply
Director of Brokerage and RIA Operations If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable ...
Director of Brokerage and RIA Operations If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable ...
Quick apply
Director of Brokerage and RIA Operations If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable ...
San Diego, CA · On-site
Medical
Dental
Vision
Life
Retirement
PTO
The Senior RIA Operations Consultant serves as a trusted operational partner to advisors and advisory teams, delivering hands-on support while also driving operational enablement, training, and ...
Quick apply
San Diego, CA · On-site
Medical
Dental
Vision
Life
Retirement
PTO
The Senior RIA Operations Consultant serves as a trusted operational partner to advisors and advisory teams, delivering hands-on support while also driving operational enablement, training, and ...
Green Bay, WI · On-site
Retirement
PTO
Lead the operational strategy and control environment for Associated Investment Services' broker-dealer and RIA platform. This role drives operational integrity, regulatory alignment, and technology ...
Green Bay, WI · On-site
Retirement
PTO
Lead the operational strategy and control environment for Associated Investment Services' broker-dealer and RIA platform. This role drives operational integrity, regulatory alignment, and technology ...
Lead the operational strategy and control environment for Associated Investment Services' broker-dealer and RIA platform. This role drives operational integrity, regulatory alignment, and technology ...
Lead the operational strategy and control environment for Associated Investment Services' broker-dealer and RIA platform. This role drives operational integrity, regulatory alignment, and technology ...
Green Bay, WI · On-site
Retirement
PTO
Lead the operational strategy and control environment for Associated Investment Services' broker-dealer and RIA platform. This role drives operational integrity, regulatory alignment, and technology ...
Green Bay, WI · On-site
Retirement
PTO
Lead the operational strategy and control environment for Associated Investment Services' broker-dealer and RIA platform. This role drives operational integrity, regulatory alignment, and technology ...
Red Bank, NJ · On-site
The RIA Operations Manager is responsible for managing the day-to-day operational activities of our Red Bank, NJ office. As a single-office Registered Investment Advisor (RIA), this role is central ...
Quick apply
Red Bank, NJ · On-site
The RIA Operations Manager is responsible for managing the day-to-day operational activities of our Red Bank, NJ office. As a single-office Registered Investment Advisor (RIA), this role is central ...
Milwaukee, WI · On-site
Retirement
PTO
Lead the operational strategy and control environment for Associated Investment Services' broker-dealer and RIA platform. This role drives operational integrity, regulatory alignment, and technology ...
Milwaukee, WI · On-site
Retirement
PTO
Lead the operational strategy and control environment for Associated Investment Services' broker-dealer and RIA platform. This role drives operational integrity, regulatory alignment, and technology ...
Green Bay, WI · On-site
Retirement
PTO
Lead the operational strategy and control environment for Associated Investment Services' broker-dealer and RIA platform. This role drives operational integrity, regulatory alignment, and technology ...
Green Bay, WI · On-site
Retirement
PTO
Lead the operational strategy and control environment for Associated Investment Services' broker-dealer and RIA platform. This role drives operational integrity, regulatory alignment, and technology ...
Be Seen First
Boca Raton, FL · On-site
$110K - $120K/yr
Medical
Dental
Vision
Life
Retirement
PTO
The ideal candidate is an experienced RIA operations professional who enjoys wearing multiple hats, improving processes, supporting advisors, and serving as a key resource across operations, HR ...
Quick apply
Be Seen First
Boca Raton, FL · On-site
$110K - $120K/yr
Medical
Dental
Vision
Life
Retirement
PTO
The ideal candidate is an experienced RIA operations professional who enjoys wearing multiple hats, improving processes, supporting advisors, and serving as a key resource across operations, HR ...
Bethesda, MD · On-site
$60K - $80K/yr
Medical
Dental
Vision
Retirement
PTO
Involved in all core RIA operations including onboarding, transfers, money movement, service requests, and custodian interaction-executing with accuracy, urgency, and transparency. * Maintain GIPS ...
Bethesda, MD · On-site
$60K - $80K/yr
Medical
Dental
Vision
Retirement
PTO
Involved in all core RIA operations including onboarding, transfers, money movement, service requests, and custodian interaction-executing with accuracy, urgency, and transparency. * Maintain GIPS ...
Build an RIA operation that scales with Skyline's planning-led front office Ideal Background * Active Series 65 or equivalent registration * Experience managing HNW advisory relationships ($1M-$25M ...
Quick apply
Build an RIA operation that scales with Skyline's planning-led front office Ideal Background * Active Series 65 or equivalent registration * Experience managing HNW advisory relationships ($1M-$25M ...
Austin, TX · On-site
$120 - $190/hr
Build an RIA operation that scales with Skyline's planning-led front office Ideal Background * Active Series 65 or equivalent registration * Experience managing HNW advisory relationships ($1M-$25M ...
Austin, TX · On-site
$120 - $190/hr
Build an RIA operation that scales with Skyline's planning-led front office Ideal Background * Active Series 65 or equivalent registration * Experience managing HNW advisory relationships ($1M-$25M ...
Bloomfield Hills, MI · On-site
$65K - $75K/yr
Medical
Dental
Vision
Retirement
PTO
What we're looking for: * 3+ years of experience in wealth management, financial services, RIA operations, or client service. * Experience in similar roles such as Client Associate, Operations ...
Bloomfield Hills, MI · On-site
$65K - $75K/yr
Medical
Dental
Vision
Retirement
PTO
What we're looking for: * 3+ years of experience in wealth management, financial services, RIA operations, or client service. * Experience in similar roles such as Client Associate, Operations ...
$39.9K is the 25th percentile. Wages below this are outliers.
$31.5K - $41K
28% of jobs
$41K - $50.6K
13% of jobs
$50.6K - $60.1K
5% of jobs
The median wage is $68.5K / yr.
$60.1K - $69.7K
4% of jobs
$69.7K - $79.2K
5% of jobs
$79.2K - $88.8K
7% of jobs
$88.8K - $98.3K
7% of jobs
$101.7K is the 75th percentile. Wages above this are outliers.
$98.3K - $107.9K
13% of jobs
$107.9K - $117.4K
9% of jobs
$117.4K - $127K
3% of jobs
$127K - $136.5K
4% of jobs
$31.5K
$77.3K
$136.5K
Cities with the most Ria Operations job openings:
States with the most job openings for Ria Operations jobs include:
The top searched job categories for Ria Operations jobs are:

Full-time
Re-posted 24 days ago
Director of Brokerage and RIA Operations
If you know that operational excellence and regulatory compliance aren't mutually exclusive, and believe that "we'll clean it up later" is not an acceptable control environment, we should talk. Our client is seeking a Director of Brokerage, RIA Operations & Controls to lead the operational strategy, technology enablement, and control framework for its broker-dealer and RIA platform.
This highly visible leadership role oversees account opening, trade support, product governance, clearing firm relationships, commission processing, reconciliation, reporting, and operational integrity while partnering closely with Finance, Risk, Compliance, and Private Wealth. You'll serve as the Operations Principal and FINOP specialist, helping shape a scalable, best-in-class operating model designed for growth.
Qualified candidates will bring 10+ years of broker-dealer or RIA operations experience, including 7+ years of leadership experience, along with a strong understanding of controls, regulatory requirements, and technology-driven efficiency. Series 7, 24, and 27 licenses are required, though candidates possessing two of the three will be considered; Series 4 and 66 (or 63/65) are a plus. Available in Green Bay and Milwaukee only! If you appreciate strong controls, clean reconciliations, and the satisfaction that comes from making complex operations look effortless, you may have just found your people.
To learn more about our organization please visit us at www.westportone.com
To apply for this position, submit your resume by choosing one of the following:
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1,001 - 5,000 Employees
Goose Creek, SC, US