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Vice President Ria Firm Jobs in Georgia (NOW HIRING)

Osaic

VP, Osaic Advisors Channel Compliance

Atlanta, GA · Hybrid

$170K - $200K/yr

Compliance Leadership Opportunity in Financial Services VP, Osaic Advisors Channel Compliance ... The ideal candidate will have (1) a successful RIA compliance track record, with meaningful broker ...

Osaic

VP, Osaic Advisors Channel Compliance

Atlanta, GA · Hybrid

$170K - $200K/yr

The VP of Osaic Advisors Channel Compliance will support both broker-dealer and investment adviser ... The ideal candidate will have (1) a successful RIA compliance track record, with meaningful broker ...

New

Osaic

VP, Osaic Advisors Channel Compliance

Atlanta, GA · Hybrid

$170K - $200K/yr

Compliance Leadership Opportunity in Financial Services VP, Osaic Advisors Channel Compliance ... The ideal candidate will have (1) a successful RIA compliance track record, with meaningful broker ...

Osaic

VP, Osaic Advisors Channel Compliance

Atlanta, GA · On-site

$170K - $200K/yr

The VP of Osaic Advisors Channel Compliance will support both broker-dealer and investment adviser ... The ideal candidate will have (1) a successful RIA compliance track record, with meaningful broker ...

New

NorthPoint Search Group

VP Enterprise Sales

Atlanta, GA · On-site

$100 - $150/hr

VP of Enterprise Sales Logistics Firm in Atlanta is looking for a VP of Enterprise Sales. Must have experience selling to large Fortune 1000 clients in the trucking and transportation industry and ...

Osaic

Vice President, Advisory Consulting

Atlanta, GA · On-site +1

$140K - $175K/yr

This role focuses on driving advisor engagement, promoting adoption of the Wealth Management Platform (WMP), driving asset shift on platform, and growing advisory assets across the firm. The VP ...

Osaic

Vice President, Advisory Consulting

Atlanta, GA

$140K - $175K/yr

This role focuses on driving advisor engagement, promoting adoption of the Wealth Management Platform (WMP), driving asset shift on platform, and growing advisory assets across the firm. The VP ...

Osaic

Vice President, Advisory Consulting

Atlanta, GA

$140K - $175K/yr

This role focuses on driving advisor engagement, promoting adoption of the Wealth Management Platform (WMP), driving asset shift on platform, and growing advisory assets across the firm. The VP ...

Osaic

Vice President, Advisory Consulting

Atlanta, GA · On-site

$140K - $175K/yr

This role focuses on driving advisor engagement, promoting adoption of the Wealth Management Platform (WMP), driving asset shift on platform, and growing advisory assets across the firm. The VP ...

MERU

Vice President, Finance

Atlanta, GA · On-site

$180 - $240/hr

This individual will be responsible for the full scope of the firm's financial operations, including reporting, accounting, treasury, compensation administration, and systems. The VP Finance reports ...

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Vice President Ria Firm information

What does a vice president do at a RIA firm?

A Vice President at a Registered Investment Advisor (RIA) firm typically oversees key business operations, manages client relationships, and leads teams or specific departments. Their responsibilities may include strategic planning, business development, compliance oversight, and ensuring the firm meets regulatory standards. They also play a vital role in mentoring staff, implementing firm-wide initiatives, and representing the firm in client or industry engagements. This leadership position is crucial for maintaining the firm's growth, reputation, and adherence to fiduciary responsibilities.

What are the key skills and qualifications needed to thrive as a vice president at a RIA firm?

To thrive as a Vice President at an RIA firm, you need a deep understanding of investment strategies, financial planning, SEC compliance, and a proven track record in wealth management, typically supported by a bachelor's or master's degree in finance or related field and certifications like CFP or CFA. Expertise in portfolio management software, CRM systems, and financial analysis tools is also essential. Outstanding leadership, client relationship management, and strategic communication skills set top performers apart in this role. These competencies are crucial for ensuring regulatory compliance, driving firm growth, and maintaining trusted client relationships in a highly competitive industry.

How does a vice president at a RIA firm typically collaborate with other departments to drive business growth?

A Vice President at a Registered Investment Advisor (RIA) firm actively collaborates with departments such as compliance, portfolio management, client services, and business development. They work closely with these teams to ensure regulatory adherence, deliver tailored investment solutions, and enhance the client experience. By fostering cross-functional communication, the VP helps identify new business opportunities, streamline operational processes, and implement strategic initiatives that support the firm's growth objectives. This collaborative approach is essential for maintaining client trust and staying competitive in a dynamic financial landscape.

What is the difference between Vice President Ria Firm vs Financial Advisor?

AspectVice President Ria FirmFinancial Advisor
CredentialsSeries 7, 63, 65/66 licenses, CFP often preferredSeries 7, 63, 65/66 licenses, CFP often preferred
Work EnvironmentCorporate office, team-based, client managementIndependent or firm-based, client-facing, advisory
Industry UsageFinancial services, wealth management firmsFinancial planning, wealth management, investment advising

The main difference between a Vice President Ria Firm and a Financial Advisor lies in their roles and responsibilities. The Vice President Ria Firm typically holds a leadership position within a firm, overseeing operations and strategy, while a Financial Advisor directly manages client portfolios and provides personalized financial advice. Both roles require similar licenses and certifications, but their focus and work environment differ significantly.

What are the most commonly searched types of Ria Firm jobs in Georgia?

The most popular types of Ria Firm jobs in Georgia are:

What are popular job titles related to Vice President Ria Firm jobs in Georgia?

For Vice President Ria Firm jobs in Georgia, the most frequently searched job titles are:

What job categories do people searching Vice President Ria Firm jobs in Georgia look for?

The top searched job categories for Vice President Ria Firm jobs in Georgia are:

What cities in Georgia are hiring for Vice President Ria Firm jobs?

Cities in Georgia with the most Vice President Ria Firm job openings:

Vice President Ria Firm jobs near you

Chief Compliance Officer - RIA (Atlanta)

Pinnacle Career Coaching

Atlanta, GA • On-site

Full-time

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

Job description

We've partnered with a fast-growing RIA that is looking for a CCO to join their close-knit team as they continue to expand their presence and operations.

This is a hands-on position building a compliance program with the support of the executive team and external consultancy.

What you'll be doing:

  • Building the compliance program from the ground up, covering all core compliance activities, ensuring compliance with SEC and state regulations, overseeing Form ADV filings and acting as the primary contact for regulatory examinations and inquiries.
  • Conduct compliance risk assessments, investigations and remediation efforts to mitigate regulatory and operational risk.
  • Oversee testing, monitoring, and annual reviews of compliance programs, presenting findings to the CEO, President and Board
  • Implement robust AML/KYC, privacy, cybersecurity, and code-of-ethics frameworks aligned with SEC standards
  • Review and approve all marketing and sales materials to ensure regulatory compliance across RIA channels.
  • Leverage compliance technology platforms to manage reporting, monitor employee activities, streamline compliance workflows and maintain regulatory records.

What they're looking for:

  • Bachelor's degree level educated
  • 6+ years of compliance experience, working within a RIA or dual-registered BD/RIA firm
  • Extensive experience with the Advisers Act and pertinent SEC rules and regulations
  • Comfortable managing and communicating with executive stakeholders and regulatory bodies
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