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Series 65 Ria Jobs in Raleigh, NC (NOW HIRING)

Hilltop Wealth Advisors, LLC

Sales Advisor

Chapel Hill, NC · On-site

$150K - $200K/yr

... RIA. This role is ideal for an advisor who thrives in discovery conversations, relationship ... Series 65 required • Desire to work directly with prospective and existing clients • Strong ...

CAPTRUST

Senior Compliance Manager

Raleigh, NC

Extensive experience working at an RIA and broker-dealer * Series 65 or 66 licenses (preferred) * Intermediate to advanced knowledge of MS Excel * Experience with FINRA Gateway/WebCRD * Excellent ...

CAPTRUST

Senior Compliance Manager

Raleigh, NC · On-site

Extensive experience working at an RIA and broker-dealer * Series 65 or 66 licenses (preferred) * Intermediate to advanced knowledge of MS Excel * Experience with FINRA Gateway/WebCRD * Excellent ...

Curi Capital

Wealth Management Associate

Raleigh, NC · On-site

$60K - $70K/yr

... RIA) based in Chicago. We are committed to building meaningful relationships and making a ... Series 65 recommended or willingness to obtain upon hiring * CFP recommended or willingness to ...

All JobsSeries 65 Ria JobsSeries 65 Ria Jobs in Raleigh, NC

Series 65 Ria information

See Raleigh, NC salary details

$10

$26

$44

How much do series 65 ria jobs pay per hour?

As of Jul 23, 2026, the average hourly pay for series 65 ria in Raleigh, NC is $26.91, according to ZipRecruiter salary data. Most workers in this role earn between $18.70 and $28.51 per hour, depending on experience, location, and employer.

How to make money with series 65?

A Series 65 licensed Registered Investment Advisor (RIA) can earn income by providing financial planning, investment advisory, and portfolio management services to clients. Revenue is typically generated through advisory fees, asset-based fees, or hourly charges, depending on the firm's fee structure. Success also depends on building a client base, maintaining compliance, and demonstrating strong investment knowledge and communication skills.

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 are the key skills and qualifications needed to thrive as a Series 65 Registered Investment Adviser (RIA), and why are they important?

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.

Do you need series 65 for RIA?

Yes, individuals acting as Registered Investment Advisers (RIA) typically need to pass the Series 65 exam to register with state authorities and provide investment advice legally. The Series 65 license qualifies individuals to act as investment adviser representatives without needing the Series 7 license, though some firms may require additional certifications or licenses depending on their services. Having the Series 65 is a common requirement for RIAs to operate legally and demonstrate competence in investment advisory activities.

How much do series 65 holders make?

Series 65 holders, who are licensed to act as investment adviser representatives, typically earn between $60,000 and $120,000 annually, depending on experience, location, and firm size. Compensation may include base salary, commissions, and bonuses, especially for those working in financial advisory roles or managing client portfolios.

What kind of job can I get with a series 65?

A Series 65 license qualifies individuals to work as investment adviser representatives, providing financial planning, investment advice, and portfolio management services. These professionals often work for registered investment advisory firms, managing client assets and offering financial strategies. The license is essential for roles that involve giving personalized investment advice without being a registered broker-dealer.

What are the typical career advancement opportunities for someone starting as 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.
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Series 65 Ria jobs near you
Infographic showing various Series 65 Ria job openings in Raleigh, NC as of July 2026, with employment types broken down into 100% Full Time. Highlights an 75% In-person, 5% Hybrid, and 20% Remote job distribution, with an average salary of $55,976 per year, or $26.9 per hour.
Senior Manager Compliance - Broker-Dealer & RIA (Complaints/Licensing & Registrations)(Remote)

Senior Manager Compliance - Broker-Dealer & RIA (Complaints/Licensing & Registrations)(Remote)

First Citizens Bank

Raleigh, NC • On-site, Remote

$155K - $175K/yr

Full-time

Posted 10 days ago

First Citizens Bank rating

7.6

Company rating: 7.6 out of 10

Based on 105 frontline employees who took The Breakroom Quiz

84th of 150 rated banks

Job description

Overview

This is a remote role that may be hired in several markets across the United States.

The Compliance Manager is a senior leader within Compliance, responsible for oversight of the firm’s Broker-Dealer and Registered Investment Adviser (RIA) complaint management programs, representative investigations, disciplinary processes and Licensing & Registrations function.  This role combines strategic leadership with hands-on execution, managing complex matters while driving consistency, scalability, and regulatory compliance across multiple functions.

The ideal candidate brings deep expertise in broker-dealer complaint handling and investigations, strong regulatory knowledge, and sound judgment in assessing conduct and supervisory risk. A strong understanding of FINRA Rule 4530, complaint classification standards, and disclosure requirements are essential.


Responsibilities

Complaint Program Leadership & Enhancement

  • Lead and enhance the firm’s Complaint Management Program, across BD, RIA, and Insurance businesses
  • Oversee the complaint investigations, escalation, and resolution, directly handling high-risk matters
  • Ensure accurate application of FINRA problem/ product codes, and disclosure requirements
  • Manage Rule 4530 reporting, including quarterly 4530(d) filings and event-driven reporting
  • Develop reporting, controls and quality assurance processes to identify trends, identify emerging risks, and drive remediation
  • Implement improvements to increase program effectiveness, consistency, and scalability 

Representative Investigations

  • Lead investigations into registered representatives and associated people’s conduct, sales practice and supervisory matters
  • Partner with Legal, Human Resources, and business leadership on escalation, resolution, and disciplinary outcomes
  • Support regulatory inquiries, responses, and disclosure obligations 

Licensing & Registration Oversight

  • Oversee Licensing & Registration to ensure accurate and timely regulatory filings and registration processes are executed accurately and in accordance with applicable requirements

Qualifications
  • Bachelor's Degree and 8 years of experience in Compliance, Legal, Audit, Regulatory Compliance Management, Banking or other related experience OR High School Diploma or GED and 12 years of experience in Compliance, Legal, Audit, Regulatory Compliance Management, Banking or other related experience
  • 7+ years of broker-dealer and/or RIA compliance experience.
  • Strong experience in complaints, investigations, and regulatory reporting
  • Deep knowledge of FINRA rules, including Rule 4530, U4/U5, and complaint classification standards
  • Proven leadership and ability to manage complex regulatory matters
  • FINRA Series 7, 24, and 63/65 or 66 licenses (or ability to obtain shortly after hire).

Preferred Qualifications

  • Experienced in a large, dual-registrant financial institution
  • Strong investigative, risk assessment, and escalation skills
  • Executive communication and stakeholder management expertise
  • Insurance Licensing/Life & Health experience

This job posting is expected to remain active for 14 days from the initial posting date listed above. If it is necessary to extend this deadline, the posting will remain active as appropriate. Job postings may come down early due to business need or a high volume of applicants.

The base pay for this position is generally between $155,000 and $175,000. Actual starting base pay will be determined based on skills, experience, location, and other non-discriminatory factors permitted by law. For some roles, total compensation may also include variable incentives, bonuses, benefits, and/or other awards as outlined in the offer of employment.

Benefits are an integral part of total rewards and First Citizens Bank is committed to providing a competitive, thoughtfully designed and quality benefits program to meet the needs of our associates. More information can be found at https://jobs.firstcitizens.com/benefits.

Qualifications:
  • Bachelor's Degree and 8 years of experience in Compliance, Legal, Audit, Regulatory Compliance Management, Banking or other related experience OR High School Diploma or GED and 12 years of experience in Compliance, Legal, Audit, Regulatory Compliance Management, Banking or other related experience
  • 7+ years of broker-dealer and/or RIA compliance experience.
  • Strong experience in complaints, investigations, and regulatory reporting
  • Deep knowledge of FINRA rules, including Rule 4530, U4/U5, and complaint classification standards
  • Proven leadership and ability to manage complex regulatory matters
  • FINRA Series 7, 24, and 63/65 or 66 licenses (or ability to obtain shortly after hire).

Preferred Qualifications

  • Experienced in a large, dual-registrant financial institution
  • Strong investigative, risk assessment, and escalation skills
  • Executive communication and stakeholder management expertise
  • Insurance Licensing/Life & Health experience

This job posting is expected to remain active for 14 days from the initial posting date listed above. If it is necessary to extend this deadline, the posting will remain active as appropriate. Job postings may come down early due to business need or a high volume of applicants.

The base pay for this position is generally between $155,000 and $175,000. Actual starting base pay will be determined based on skills, experience, location, and other non-discriminatory factors permitted by law. For some roles, total compensation may also include variable incentives, bonuses, benefits, and/or other awards as outlined in the offer of employment.

Benefits are an integral part of total rewards and First Citizens Bank is committed to providing a competitive, thoughtfully designed and quality benefits program to meet the needs of our associates. More information can be found at https://jobs.firstcitizens.com/benefits.

Education:UNAVAILABLEEmployment Type: FULL_TIME

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