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 ...
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 ...
Austin, TX · On-site
$85K/yr
If you want to accelerate your career in financial planning, wealth management, and RIA operations , this is your opportunity. Our Founder will take 20 years of hands-on experience across ...
Austin, TX · On-site
$85K/yr
If you want to accelerate your career in financial planning, wealth management, and RIA operations , this is your opportunity. Our Founder will take 20 years of hands-on experience across ...
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 ...
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 ...
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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 ...
Manhattan, NY · On-site
$150 - $180/hr
Careers / Frec / Senior Operations Associate -- Broker-Dealer & RIA Senior Operations Associate -- Broker-Dealer & RIA Posted 1 day ago About Frec Our mission is to help create enduring wealth. To do ...
Manhattan, NY · On-site
$150 - $180/hr
Careers / Frec / Senior Operations Associate -- Broker-Dealer & RIA Senior Operations Associate -- Broker-Dealer & RIA Posted 1 day ago About Frec Our mission is to help create enduring wealth. To do ...
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 ...
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 ...
Be Seen First
Boca Raton, FL · On-site
$110K - $120K/yr
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
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 ...
Lead daily brokerage and RIA operations, including account onboarding, servicing, transaction processing, and issue resolution. * Manage clearing firm relationships, commission processing, advisory ...
Lead daily brokerage and RIA operations, including account onboarding, servicing, transaction processing, and issue resolution. * Manage clearing firm relationships, commission processing, advisory ...
Green Bay, WI · On-site
$116 - $198/hr
Lead daily brokerage and RIA operations, including account onboarding, servicing, transaction processing, and issue resolution. * Manage clearing firm relationships, commission processing, advisory ...
Green Bay, WI · On-site
$116 - $198/hr
Lead daily brokerage and RIA operations, including account onboarding, servicing, transaction processing, and issue resolution. * Manage clearing firm relationships, commission processing, advisory ...
Lead daily brokerage and RIA operations, including account onboarding, servicing, transaction processing, and issue resolution. * Manage clearing firm relationships, commission processing, advisory ...
Lead daily brokerage and RIA operations, including account onboarding, servicing, transaction processing, and issue resolution. * Manage clearing firm relationships, commission processing, advisory ...
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 ...
Los Angeles, CA · On-site
$75K - $100K/yr
Given our size, the role offers unusually broad exposure - you'll see how a modern RIA and ... RIA operations a plus • Hands-on experience with custodial platforms including Fidelity ...
Los Angeles, CA · On-site
$75K - $100K/yr
Given our size, the role offers unusually broad exposure - you'll see how a modern RIA and ... RIA operations a plus • Hands-on experience with custodial platforms including Fidelity ...
$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 14 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