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Series 65 Ria Jobs in Illinois (NOW HIRING)

Hines

Senior Director RIA Distribution

Chicago, IL · On-site

FINRA Series 7 and 63 licensing * 8 or more years of experience working with RIAs/RIA Aggregators ... 65-year history to build the world forward. This is why we prioritize investing in our people ...

Mesirow Financial

Senior Wealth Advisor

Chicago, IL

... HNW RIA environment. * Strong desire for business development; has local contacts and robust networking capability. * Bachelor's degree in Finance or similar. * Series 65 license highly preferred.

Mesirow Financial

SVP, Compliance Officer

Chicago, IL · On-site

$95K - $125K/yr

... RIA firms. As a Compliance Officer at Mesirow, the role will be responsible for supporting all ... ACAMS, Series 7, Series 24, Series 65/66, or other relevant industry certifications preferred.

Mesirow

SVP, Compliance Officer

Chicago, IL · On-site

$95K - $125K/yr

... RIA firms. As a Compliance Officer at Mesirow, the role will be responsible for supporting all ... ACAMS, Series 7, Series 24, Series 65/66, or other relevant industry certifications preferred.

HUB

Client Onboarding Specialist

Northbrook, IL · On-site

$41.02/hr

Support continuous improvement of onboarding workflows and documentation standards Qualifications * 2+ years of experience in RIA or financial services operations * Series 65 or Series 66 license ...

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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.

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

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

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Series 65 Ria jobs near you

Associate, RIA Relationship Management (Midwest)

Allocate

Chicago, IL • On-site, Remote

$105K - $130K/yr

Full-time

Re-posted 11 days ago

Job description

THE ROLE
We are hiring a Relationship Associate to help grow Allocate's partnerships with RIAs and wealth advisory firms. Based in the Midwest, you will cover firms across the country.
The role sits at the heart of how Allocate works with wealth advisory firms. You will partner closely with Senior Relationship Managers and work directly with RIA firms and other allocators, helping them build scalable but tailored private markets programs spanning venture, growth equity, private equity, and private credit.
At the core of this is a genuine effort to understand each firm you work with: their investment philosophy, what they are building for their clients, and the principles that shape how they operate. That depth of understanding is what turns a good partnership into a lasting one.
This is a role for someone who is deeply client-centric, curious about private markets, and serious about building a career in the space. Over time, you will take on your own relationships and grow into a full Relationship Manager seat.
WHAT YOU'LL DO
Building new partnerships
  • Identify and engage RIAs, wealth advisory firms, and family offices that could benefit from Allocate's platform and investment capabilities
  • Reach out and follow up thoughtfully across email, calls, LinkedIn, and conferences to start the right conversations
  • Bring Senior Relationship Managers into new firm conversations at the right moment, and work together to understand how Allocate can best serve them
  • Research prospective firms ahead of meetings: their investment philosophy, AUM, alternatives allocation, and the people who make decisions
  • Keep pipeline data accurate so the team always has a clear picture of where things stand

Supporting and deepening firm relationships
  • Work alongside Relationship Managers on active firm partnerships: preparing materials, tracking commitments, and making sure nothing gets missed
  • Guide new firms through onboarding onto Allocate's platform and help them navigate curated investment opportunities
  • Coordinate webinars, events, and roundtables that bring value to existing and prospective partner firms
  • Serve as a reliable, responsive presence for the firms you work with, bringing in senior team members when needed
  • Over time, take ownership of your own relationships as you build a track record at Allocate

WHAT WE'RE LOOKING FOR
  • 3-5 years of experience in financial services, wealth management, or asset management. Experience in the RIA channel, alternatives, or a client-facing role is a strong plus
  • Deep comfort with Salesforce as a primary working tool: you can build and maintain a complete, accurate view of a relationship across multiple signals, create reports and dashboards, and use the data to prioritise and make decisions - not just log activity
  • Strong analytical ability and confidence working with data: you can spot patterns, synthesize information from different sources, and present a clear picture to the team
  • Demonstrated ability to use AI tools in day-to-day work: whether for research, drafting, analysis, or workflow - you already use them and can show it
  • Strong relationship skills and the ability to hold credible, substantive conversations with senior investment professionals
  • Highly organised and rigorous: you follow up, you take good notes, and you keep shared systems accurate without being asked
  • A high degree of self-direction and ownership, and comfort operating in a fast-moving, entrepreneurial environment
  • Ambition to build a long-term career in private markets, with this role as the starting point

NICE TO HAVE
  • Series 65 or 66 (or willingness to obtain)
  • CFA or CAIA designation, or currently in progress
  • Working knowledge of alternative investment structures and products
  • Experience coordinating client events or industry conferences

WHY JOIN ALLOCATE
  • Work directly with some of the most sophisticated platforms in wealth management
  • Help build the infrastructure powering private markets in the RIA channel
  • Join a team of builders focused on client experience, operational rigor, and problem-solving
  • Shape how the next generation of wealth platforms invests in private markets

Apply