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Series 65 Ria Jobs in Dallas, TX (NOW HIRING)

Altruist

Compliance Officer

Dallas, TX · Hybrid

You'll own substantive compliance work across the RIA's program - with support - while operating ... Securities licenses - Series 65/66, Series 7, and Series 24 preferred; willing to obtain shortly ...

Boutique Recruiting

Wealth Advisor

Dallas, TX · On-site

RIA background is required * Series 65 certification is mandatory * Bachelor's degree is strongly preferred * CFP designation is preferred * Experience with Moneyguide Pro is preferred Benefits:

Hilltop Holdings

Compliance Officer

Dallas, TX · On-site

Support the administration and enhancement of the firm's Registered Investment Adviser (RIA ... Series 24, 65, 66 preferred * Experience supporting Investment Adviser Representatives (IARs) and ...

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Series 65 Ria information

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$11

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How much do series 65 ria jobs pay per hour?

As of Aug 12, 2026, the average hourly pay for series 65 ria in Dallas, TX is $27.39, according to ZipRecruiter salary data. Most workers in this role earn between $19.04 and $28.99 per hour, depending on experience, location, and employer.

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 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 requiring strong client communication skills and knowledge of securities regulations.

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 are popular job titles related to Series 65 Ria jobs in Dallas, TX? For Series 65 Ria jobs in Dallas, TX, the most frequently searched job titles are:
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Series 65 Ria jobs near you
Infographic showing various Series 65 Ria job openings in Dallas, TX as of August 2026, with employment types broken down into 100% Full Time. Highlights an 100% In-person job distribution, with an average salary of $56,963 per year, or $27.4 per hour.

Compliance Officer

Altruist

Dallas, TX • Hybrid

Full-time

Posted 27 days ago

Job description

The opportunity

We're hiring a Compliance Officer to serve as the functional compliance lead for Altruist Advisors, Altruist's new SEC-registered investment adviser. You'll be the primary point of contact and subject-matter expert for the RIA, owning the Investment Adviser Representative (IAR) relationship end-to-end and helping build and scale the RIA's compliance program from the ground up. You'll partner directly with the Head of Compliance and with Product as we launch and grow our new corporate RIA offering.

This is a senior individual-contributor role. You'll own substantive compliance work across the RIA's program - with support - while operating with the judgment and independence to shape how the program is built. You'll also serve as a trusted partner to teams across Product, Engineering, Operations, and Marketing.

*This is a hybrid role requiring three days per week in the office.

Your impact

  • Primary POC and SME - Act as the lead compliance point of contact and subject-matter expert for Altruist Advisors, our new SEC-registered investment adviser.
  • IAR lifecycle - Own the IAR relationship from a compliance perspective, from onboarding through offboarding, including oversight of ongoing IAR activity.
  • Program build-out - Assist in the build-out and scaling of the RIA's compliance program, including the development and management of policies and procedures.
  • Form ADV - Own the preparation, maintenance, and timely filing of Form ADV (Parts 1, 2A, and 2B), including annual updating amendments and other-than-annual amendments as material changes arise.
  • Product partnership - Partner closely with Altruist's Product team to provide compliance input and guidance on the new corporate RIA offering.
  • Marketing review - Review and approve IAR marketing materials and communications under the SEC Marketing Rule.
  • Vendor management - Own vendor relationships supporting the RIA's compliance program.
  • Ongoing oversight - Conduct ongoing oversight and monitoring of IAR activity, escalating issues and driving remediation.
  • Cross-entity support - Provide general compliance support to Altruist's other regulated entities, including the broker-dealer, as required.

What you bring

  • Experience - 5+ years of hands-on investment adviser compliance experience, with demonstrated ability to execute across the full range of a compliance program. Broker-dealer compliance experience preferred.
  • Speed and adaptability - Prior experience in a fintech or high-growth financial services environment, or a comparable track record that demonstrates the ability to move quickly and operate with ambiguity as programs are built.
  • Regulatory expertise - Strong working knowledge of the Investment Advisers Act and the SEC Marketing Rule, with hands-on experience preparing and filing Form ADV, and the practical judgment to apply regulations in a solutions-oriented way and help stand up policies and controls. Familiarity with FINRA rules a plus given cross-entity support.
  • Cross-functional collaboration - Fosters and builds strong cross-functional relationships; drives outcomes across Compliance, Legal, Operations, Product, and Engineering and persuades with data and regulatory rationale rather than authority.
  • Ownership mindset - Comfortable owning a program end-to-end as a senior IC, setting the quality bar for substantive work while partnering with the Head of Compliance on strategy and direction.
  • Technical aptitude - Technologically savvy; gets up to speed quickly on modern tech stacks and partners credibly with Engineering and Product.
  • Education - Bachelor's degree (B.A. or B.S.) in a relevant field.
  • Securities licenses - Series 65/66, Series 7, and Series 24 preferred; willing to obtain shortly after joining also welcome.

Bonus points if you bring:

  • Hands-on experience authoring and maintaining compliance policies and procedures for an RIA
  • Experience with IAR onboarding, registration, and ongoing oversight at scale
  • Experience managing compliance vendors and related tooling

Apply