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Vice President Ria Firm Jobs in Iowa (NOW HIRING)

Nicolet National Bank

Financial Advisor

Iowa City, IA · On-site

... firm's financial planning systems. * Works with other VP Financial Advisors to discuss, review and finalize financial planning assumptions and design decisions. * Works with the client and under the ...

Solid Rock Recruiting LLC

Tax Manager/Director

Sheldon, IA · On-site

$120K - $170K/yr

Experience in small or midsize firm environments preferred * Desire to take ownership and grow into a director or VP-level role * Excellent communication and leadership skills Compensation & Benefits

RSM

Finance as a Service - Associate

Dubuque, IA

... firm, while at the same timeoperatingin private company environmentsdaily.Weprovide accounting ... FAO Associateshave contact withourclients (CEO, COO, CFO, VP of Finance, Controller, etc.),as well ...

New

RSM US LLP

Finance as a Service - Associate

Dubuque, IA · On-site

... firm, while at the same timeoperatingin private company environmentsdaily.Weprovide accounting ... FAO Associateshave contact withourclients (CEO, COO, CFO, VP of Finance, Controller, etc.),as well ...

New

T3 Recruiters, LLC

Be Seen First

Branch Manager - AG & Construction Equipment

Iowa City, IA · On-site

$100K - $125K/yr

This opportunity is being presented exclusively through our recruiting firm, and all candidate ... Vice-Presidents. We also work with manufacturers and OEM suppliers to help them recruit ...

RSM Global

Finance as a Service - Associate

Dubuque, IA · On-site

... firm, while at the same time operating in private company environments daily. We provide accounting ... FAO Associates have contact with our clients (CEO, COO, CFO, VP of Finance, Controller, etc.), as ...

New

RSM

Finance as a Service - Associate

Dubuque, IA · On-site

... firm, while at the same time operating in private company environments daily. We provide accounting ... FAO Associates have contact with our clients (CEO, COO, CFO, VP of Finance, Controller, etc.), as ...

New

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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 popular job titles related to Vice President Ria Firm jobs in Iowa?

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

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

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

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

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

Vice President Ria Firm jobs near you

Financial Advisor

Nicolet National Bank

Iowa City, IA • On-site

Full-time

Medical, Dental, Vision, Life, Retirement

Re-posted 16 days ago

Nicolet National Bank rating

8.1

Company rating: 8.1 out of 10

Based on 12 frontline employees who took The Breakroom Quiz

65th of 171 rated banks

Job description

At Nicolet National Bank, our culture is based on the principles of community banking, putting the needs of our customers at the forefront of our decision-making. Our Core Values drive everything we do, and we are committed to serving our customers with excellence. We believe that every job in our organization is critical to our success, and we are dedicated to creating a work environment where our employees feel valued, respected, and supported. With locations in Wisconsin, Michigan, Minnesota, Iowa, and Florida we are proud to service our local communities and make a positive impact on the lives of our customers. At Nicolet National Bank, we believe that our people are our most valuable asset, and we are committed to investing in their growth and development.
The Financial Advisor is responsible for managing existing client relationships and formulating and implementing advice. They are also expected to develop new client relationships and often work with, train, and supervise other staff in client service delivery.
As a Financial Advisor, you will be responsible for the following:
General:
  • Manages client relationships assigned by the firm and helps clients achieve wealth goals.
  • Makes critical client decisions such as creating or reviewing financial plans, implementing investment policies and strategies, and recommending investment products.
  • Coordinates and works closely with the client service team, including Financial Advisors, support staff and administrative staff.
  • Markets the firm and develops its reputation with referral sources and the community.
  • Attracts new clients to the firm.
  • Serves on the firm's Investment Committee or performs due diligence of the investment managers used by the firm.
  • Supervises the work of other advisors and administrative support.
  • Participates in critical management and service decisions, including vendor evaluation and the design of processes.
  • Develops and maintains internal and external Center of Influence (COI) relationships.
  • Upholds Nicolet's philosophy and policies by maintaining appropriate controls to ensure full compliance with applicable laws and regulations, thereby fulfilling legal responsibilities and enhancing the quality of Nicolet.
  • Understands the value of diversity within the workplace and to work successfully with others without regard to age, gender, race, sexual orientation, ethnicity, culture, religion, disability status, socioeconomic status or other non-job-related classification. A commitment to Nicolet's policies on equal employment opportunities and non-discrimination with a willingness to pursue efforts of inclusion and respect toward different perspectives.
  • Performs all other duties as assigned.

Advisory:
  • Prepares and updates financial plans, including working with clients to obtain the necessary information and ensure that it is accurately entered into the firm's financial planning systems.
  • Works with other VP Financial Advisors to discuss, review and finalize financial planning assumptions and design decisions.
  • Works with the client and under the supervision of VP Regional Director to obtain information and prepare risk profiles and if applicable, investment policy statements.
  • Coordinates the transfer of client assets to the firm during new client onboarding, working closely with the operations team.
  • Develops asset allocation strategies and works with the investment team or on her/his own to implement the strategy.
  • Rebalances portfolios as directed by the investment committee and the Lead Financial Advisor working with the client.
  • Participates in all client meetings and adds value to the meeting through the delivery of presentations, facilitation of discussions and preparation of information.
  • Creates custom worksheets and analysis where needed to answer client questions or research investment opportunities.
  • Researches new investment products and vendors.
  • Facilitates the adoption of new technology by the client service teams and trains others as necessary.
  • Frequently supervises and trains Wealth Analysts, Financial Advisors and at times the Wealth Administrative Assistants.
  • Advises clients on appropriate financial products in the context of their plans.

Supervisory Responsibilities:
  • Wealth Analysts and Financial Advisors, if applicable.

Qualifications:
  • Bachelor's degree in a related discipline such as Accounting, Finance or Economics
  • Completion of FINRA Securities Industries Essentials (SIE) and Series 65, and Series 7 and Series 66
  • Holds appropriate advisory licenses as required by the SEC and state agencies
  • Completion of CFP® program and examination
  • 5+ years of experience and a median of 17 years of experience in the role
  • PC, phone system, general office equipment
  • Demonstrates expert knowledge of Microsoft Office applications, especially Excel
  • Strong verbal and written communication skills and strong interpersonal skills
  • Ability to maintain strict confidentiality
  • Ability to effectively promote Nicolet as an employer of choice
  • Basic knowledge of banking positions
  • Strong organizational, multi-tasking and prioritizing skills
  • Self-motivated and resourceful
  • Strong leadership and delegation skills

Benefits:
  • Medical, Dental, Vision, & Life Insurance
  • 401(k) with a company match
  • PT0 & 11 1/2 Paid Holidays

The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities and skills required for the position.
Equal Opportunity Employer/Veterans/Disabled

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