ZipRecruiter

Log In

1

Series 65 Ria Jobs in Alabama (NOW HIRING)

All JobsSeries 65 Ria JobsSeries 65 Ria Jobs in Alabama

Series 65 Ria information

What is a Series 65 RIA?

A Series 65 RIA refers to an individual who has passed the Series 65 exam and is registered as an Investment Adviser Representative (RIA). The Series 65 exam, also known as the Uniform Investment Adviser Law Examination, qualifies individuals to provide investment advice and manage client portfolios for a fee. Passing the exam and registering as an RIA is required by most states for professionals who wish to offer investment advisory services. This designation ensures that the individual has demonstrated knowledge of ethical practices, securities regulations, and portfolio management.

What skills and qualifications are needed to thrive as a Series 65 RIA?

To thrive as a Series 65 Registered Investment Adviser, you need a solid understanding of investment principles, portfolio management, and financial regulations, typically demonstrated by passing the Series 65 exam and meeting state registration requirements. Familiarity with financial planning software, CRM tools, and compliance management systems is also important. Strong interpersonal communication, ethical judgment, and client-focused problem-solving set top advisers apart. These skills ensure advisers deliver compliant, personalized financial strategies that build trust and long-term client relationships.

What are the typical career advancement opportunities for a Series 65 RIA?

Starting as a Series 65 Registered Investment Adviser (RIA) opens several paths for career growth. Many professionals begin as client-facing advisors or analysts and can progress to senior advisor, portfolio manager, or even partner roles within their firm. With experience, RIAs may also choose to specialize in areas such as retirement planning, wealth management, or compliance. Additionally, some RIAs eventually establish their own advisory practices, leveraging their client base and industry knowledge. Ongoing professional development, networking, and maintaining a strong compliance record are key to advancing in this field.

What is the difference between Series 65 Ria vs Series 66 Ria?

AspectSeries 65 RiaSeries 66 Ria
Required CredentialsSeries 65 licenseSeries 66 license (often combined with Series 7)
Work EnvironmentAdvisors providing investment advice and financial planningAdvisors offering investment advice and securities transactions
Employer & Industry UsageRegistered Investment Advisors (RIAs), independent advisorsHybrid firms, broker-dealer affiliated RIAs

The Series 65 Ria license qualifies individuals to act as investment advisor representatives, providing financial advice. The Series 66 Ria license combines the Series 63 and 65, allowing advisors to also engage in securities transactions. While both licenses enable financial advising, the Series 66 is often preferred for those involved in both advising and brokerage activities. Understanding these differences helps advisors choose the right licensing path for their career and client service needs.

What kind of job can I get with a Series 65 Ria?

A Series 65 license qualifies individuals to work as investment adviser representatives, providing financial planning, investment advice, and portfolio management services. Common roles include financial advisor, investment consultant, and registered investment adviser representative, often working for registered investment advisory firms or independently. The license allows for client-facing advisory work and requires knowledge of securities regulations and financial planning tools.

What are popular job titles related to Series 65 Ria jobs in Alabama?

For Series 65 Ria jobs in Alabama, the most frequently searched job titles are:

What job categories do people searching Series 65 Ria jobs in Alabama look for?

The top searched job categories for Series 65 Ria jobs in Alabama are:

What cities in Alabama are hiring for Series 65 Ria jobs?

Cities in Alabama with the most Series 65 Ria job openings:

Series 65 Ria jobs near you

Deputy Chief Compliance Officer

Stonex Group, Inc.

Birmingham, AL • On-site

$150K - $175K/yr

Full-time

Re-posted 13 days ago

Job description

Overview
Connecting clients to markets - and talent to opportunity.
With 5,400+ employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets - focusing on innovation, human connection, and providing world-class products and services to all types of investors.
Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, StoneX Group is made up of four business segments that offer endless potential for progression and growth.
Institutional: Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology.
Responsibilities
The Deputy Chief Compliance Officer reports directly to the Chief Compliance Officer and supports the retail business lines of StoneX Wealth Management. This role is responsible for assisting in the design, implementation, and oversight of compliance programs across both broker-dealer and investment advisory operations. The ideal candidate will possess strong communication and writing skills, advanced analytical capabilities, and significant experience using Microsoft Excel for data management and regulatory reporting. The role requires the ability to manage multiple priorities in a fast-paced, highly regulated environment.
Responsibilities
  • Provide guidance to employees on compliance with the Code of Ethics (COE), Written Supervisory Procedures (WSPs), and applicable regulatory requirements
  • Assist the CCO in coordinating and executing annual compliance reviews, including FINRA Rule 3120 and Advisers Act Rule 206(4)-7 reviews
  • Perform recurring compliance monitoring and reporting functions, including review of surveillance reports, exception reporting, and supervisory controls
  • Review supervisory activities related to advisory programs to ensure adherence to internal policies and regulatory standards
  • Assist in drafting, reviewing, and maintaining regulatory disclosures, including Form CRS and Form ADV (Part 2 and Part 3)
  • Prepare and file regulatory submissions for RIA entities and affiliated firms, including Forms ADV (1A), ADV-E, 13F, NP-X, 13H, and other required filings
  • Review and approve marketing materials and internal communications for regulatory compliance, as needed
  • Conduct regulatory research and assist in preparing responses to regulatory inquiries, audits, and examinations
  • Assess and evaluate daily operations and implement automation where appropriate to streamline operating functions. Collaborate with cross functional compliance, AML and supervision teams to support daily initiatives
  • Supervise staff that supports both investment advisory and broker dealer compliance initiatives
  • Perform additional duties as required to support the compliance function and broader business needs

Qualifications
  • Bachelor's degree or equivalent industry experience required
  • FINRA Series 7 and Series 24, Series 65 or 66 required;
  • Minimum of 5 years of compliance or related financial services experience preferred
  • Strong knowledge of broker-dealer and investment adviser operations, including:
    • Trading and custody processes
    • Account onboarding and maintenance
    • Billing and performance reporting systems
  • Working knowledge of the Investment Advisers Act of 1940 and related rules
  • Ability to interpret and apply regulatory requirements to business practices and assist in developing compliant policies and procedures
  • Strong analytical, problem-solving, and organizational skills
  • Excellent written and verbal communication skills
  • Advanced proficiency in Microsoft Excel (Access or other data tools a plus)
  • Demonstrated ability to manage multiple priorities and meet deadlines
  • Proven ability to build effective working relationships across business lines
  • Leadership skills with the ability to delegate, guide, and mentor others in a professional and ethical manner

Hiring Salary Range $120,000 - $170,000 (Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and alignment with market data.) Subject to business performance and recommendations of management, this role may be eligible to participate in an incentive compensation plan. This compensation package, in addition to a full range of medical, financial, and/or other benefits, dependent on the position, is offered.
#TA-LI1

Apply