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Series 65 Ria Jobs in Kentucky (NOW HIRING)

Mesirow Financial Holdings, Inc.

$95 - $125/hr

... 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.

Penn Mutual

$145 - $165/hr

Responsibilities * Own broker-dealer and RIA back-office operations: account onboarding ... FINA Registrations Series 65 and 24 required; Series 27 preferred. Work Experience 10+ years ...

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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.

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

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

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

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

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

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

Series 65 Ria jobs near you
Infographic showing various Series 65 Ria job openings in Kentucky as of August 2026, with employment types broken down into 100% Full Time. Highlights an 100% In-person job distribution.

SVP, Compliance Officer

Mesirow Financial Holdings, Inc.

On-site

$95 - $125/hr

Other

Posted 12 days ago

Job description

Mesirow is an independent, employee-owned financial services firm founded in 1937. Headquartered in Chicago, with offices around the world, we serve clients through a personal, custom approach to reaching financial goals and acting as a force for social good. With capabilities spanning Private Capital & Currency, Capital Markets & Investment Banking, and Advisory Services, we invest in what matters: our clients, our communities and our culture. We are proud of our employee-owned culture, built on collaboration and shared success, empowering our professionals to develop meaningful relationships, pursue growth opportunities and make a lasting impact for our clients and communities. Mesirow has been named one of the Best Places to Work in Chicago by Crain’s Chicago Business multiple times and is one of Barron’s Top 100 RIA firms.

As a Compliance Officer at Mesirow, the role will be responsible for supporting all aspects of the Compliance Department including review and marketing materials, Code of Ethics monitoring, trade surveillance monitoring, testing, training, and developing compliance policies, procedures and internal controls. This position reports to and works in close coordination with the Chief Compliance Officer.

We currently operate in a hybrid working model, whereby you will be required to work in-office 3 days a week.

Responsibilities:
  • Manage the Firm’s Code of Ethics Program including policies governing personal trading, gifts and entertainment, outside business activities, political contributions, conflicts of interest, and certifications.
  • Assist in the development of compliance training programs, including the on-going development of training materials and conducting training sessions for all new and existing employee.
  • Reviews marketing materials to ensure compliance with applicable rules and regulations.
  • Review and analyze AML program, KYC profiles, and transactions in accordance with established procedures and policy.
  • Maintain and support the compliance technology platform, including monitoring systems, employee certifications, disclosures, surveillance tools, and related vendor relationships.
  • Develop and maintain strong working relationships with Business, Compliance, Legal and Risk groups.
  • Monitor and stay current on relevant laws, regulations, and industry standards.
  • Assist in the preparation of required regulatory filings.
  • Lead the integration of AI tools and automation within the Compliance Department to enhance efficiency and scalability.
  • Perform other compliance-related responsibilities and special projects as needed.
Qualifications:
  • Bachelor's degree in business, finance, or a related field.
  • 5 + years of Financial Services Industry experience (Registered Investment Adviser experience a plus)
  • A strong understanding of regulatory requirements and industry standards (i.e. Investment Advisors Act of 1940, Rule 206(4)-7, and federal securities laws).
  • Experience with STAR Compliance, Global Relay, Red Oak, Quest, and other compliance platforms preferred.
  • ACAMS, Series 7, Series 24, Series 65/66, or other relevant industry certifications preferred.
  • Excellent analytical and problem-solving skills.
  • Proficiency in data analysis and reporting tools (e.g., Excel, data visualization software)

In accordance with the Illinois Pay Transparency Law, the anticipated hiring base salary for the role will be between $95,000 and $125,000 per year. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, also provides the opportunity for a bonus and theMesirow benefit program .

EOE

Equal Opportunity Employer
This employer is required to notify all applicants of their rights pursuant to federal employment laws.For further information, please review the Know Your Rights notice from the Department of Labor.

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