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 ...
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 ...
$90K - $110K/yr
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
$90K - $110K/yr
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 ...
$90K - $110K/yr
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
$90K - $110K/yr
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 ...
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
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
New York, NY · On-site
$150K - $180K/yr
What you will do You'll own, improve, and scale the core operational workflows that power Frec's broker-dealer and RIA. In every workflow, you'll automate, streamline, and eliminate manual work - we ...
New York, NY · On-site
$150K - $180K/yr
What you will do You'll own, improve, and scale the core operational workflows that power Frec's broker-dealer and RIA. In every workflow, you'll automate, streamline, and eliminate manual work - we ...
Manhattan, NY · Hybrid
$81K - $115K/yr
The Manager will be charged with leading a team of Specialists that provide operational support and a superior service experience to Eagle Strategies Investment Advisor Representatives and their ...
Manhattan, NY · Hybrid
$81K - $115K/yr
The Manager will be charged with leading a team of Specialists that provide operational support and a superior service experience to Eagle Strategies Investment Advisor Representatives and their ...
Manhattan, NY · On-site
$81K - $115K/yr
Identify and resolve operational and compliance issues that may arise during daily activities. * Complete special projects and assist with writing communications to the Field on operational ...
Manhattan, NY · On-site
$81K - $115K/yr
Identify and resolve operational and compliance issues that may arise during daily activities. * Complete special projects and assist with writing communications to the Field on operational ...
Bethesda, MD · On-site
$60K - $80K/yr
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
Involved in all core RIA operations including onboarding, transfers, money movement, service requests, and custodian interaction-executing with accuracy, urgency, and transparency. * Maintain GIPS ...
Responsibilities of the Operations Manager (RIA): • Oversee day-to-day office operations and ensure smooth workflow across departments. • Manage and supervise the operations and case processing ...
Responsibilities of the Operations Manager (RIA): • Oversee day-to-day office operations and ensure smooth workflow across departments. • Manage and supervise the operations and case processing ...
$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

Full-time
Posted 3 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