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Series 65 Ria Jobs in Nebraska (NOW HIRING)

Osaic

Compliance Analyst - IA Oversight

La Vista, NE · Hybrid

$65K - $69K/yr

Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures ... FINRA Series 7, 24 66 or 63/65) a plus. * Prior experience with the Investment Advisers Act of 1940 ...

Axos Bank

AVP, Financial Consulting

Omaha, NE · On-site

$90K - $98K/yr

... Broker-Dealer and RIA platform. This is a unique opportunity to join a fast-growing asset ... FINRA Series 7 and 66 (or 63/65) required; Series 24 preferred. * Bachelor's degree required ...

Ameritas

RVP, Sales and Distribution

Lincoln, NE · On-site +1

$80K - $200K/yr

Experience in an Agency System, IMO System, Independent Broker Dealer or RIA preferred * FINRA License (Series 6 or 7 and 65 or 66) required * CLU-Chartered Life Underwriter, ChFC-Chartered Financial ...

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

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

Series 65 Ria jobs near you

Compliance Analyst - IA Oversight

Advisor Group Inc.

La Vista, NE • On-site

$65 - $69/hr

Other

Medical, Dental, Vision, Retirement

This job post has expired today. Applications are no longer accepted.

Job description

Osaic Careers Compliance Opportunity in Financial Services Compliance Analyst – IA Oversight

Location(s):
  • Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
  • La Vista: 12325 Port Grace Blvd, La Vista, NE 68128
  • Oakdale: 7755 3rd St. N, Oakdale, MN 55128
  • Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
  • St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

Role Type: Full-time

Salary: $65k - $69k per year + annual performance-based bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education. Our competitive compensation is just one component of Osaic’s total compensation package.

Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: Osaic Benefits.

Summary:

The Investment Advisory Compliance Analyst will be involved in a variety of compliance functions including monitoring & testing, risk assessment, training, remediation and reporting of compliance issues within the RIA firms under direction of the RIA Compliance SVP. This Investment Advisory Compliance Analyst is involved on a day-to-day basis in interpreting and applying compliance policies and procedures to business practices.

Education Requirements:
  • Bachelor’s Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered
Responsibilities:
  • Support the existing Investment Advisory Compliance surveillance program
  • Conduct risk assessments and testing of IA compliance programs and Financial Planning
  • Perform Monitoring & Surveillance over business processes and controls
  • Analyze current IA Compliance functions and suggest enhancements and standardization, where appropriate.
  • Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements
  • Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures
  • Support advisors by providing guidance on RIA policy and procedures questions
  • Execute desktop procedures for RIA surveillance and other IAR related activities
  • All other duties as assigned
Basic Requirements:
  • Minimum of two years of relevant work experience with a broker/dealer, registered investment adviser, regulatory agency, or similar financial institution.
  • Excellent verbal and written communication skills.
  • Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook).
  • Strong abilities in analytical thinking, problem solving, research, and time management.
Preferred Requirements:
  • FINRA Series 7, 24 66 or 63/65) a plus.
  • Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933.
  • Experience in monitoring, testing, and conducting risk assessments of investment advisory compliance activities.
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About Advisor Group

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Be a part of the team behind our success! At Advisor Group, we support financial professionals nationwide, the people who help everyday Americans achieve their dreams. We're a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Industry

Finance and insurance

Company size

1,001 - 5,000 Employees

Headquarters location

Phoenix, AZ, US

Year founded

1988

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