functions, financial reporting, and payroll for our RIA, ensuring accurate financial records and strategic insights that drive... in financial services or RIA environments), strong technical skills, and a proactive approach to financial management. You'll work...
compliance. You'll oversee all compliance functions for our RIA, manage regulatory relationships, and create a culture of ethical... Officer (CCO) overseeing all RIA compliance functions. Develop, implement, and maintain comprehensive compliance policies...
is evolving rapidly;according to Cerulli, RIA consolidators have grown significantly over the past decade and now represent... and expanding relationships with key enterprise clients within the RIA segment. In this role, you will serve as the primary point...
advice Mentor junior advisors and support team development, as needed Ensure compliance with RIA regulations, internal... Pro, Tamarack, Junxure, Redtail) Perks & Benefits 401(k) with Employer Match Health Insurance (with HSA option) Dental...
package includes: Comprehensive health coverage: Medical, dental, and vision insurance provided Robust retirement planning... Flexible financial options: Health savings and flexible spending accounts offered Well-being and work-life balance: Paid time...
, and market trends Ensure compliance with RIA policies and regulatory requirements Position Requirements Bachelor’s degree...(k) with Employer Match Health Insurance (with HSA option) Dental Insurance Vision Insurance Life Insurance Flexible Paid Time Off...
: Mastery of tax preparation software and research tools (e.g., RIA, BNA). Excellent technical tax knowledge (e.g., multi-state... package includes: Health, Dental, and Vision Insurance 401(k) Retirement Plan with Company Match Exceptional profit sharing...
in a fast-paced, RIA-focused environment. As a key member of the C-suite, the CCO and General Counsel will ensure DPL... assessments, audits, and training to mitigate regulatory risks and promote ethical practices across RIA partnerships and internal...
GENERAL FUNCTION / SUMMARY RIA Operations Manager plays a critical leadership role in directing the firm's regulatory..., all-in-one financial services platform in the U.S. We offer a comprehensive suite of services-including life and health insurance...
to investment advisory model governance preferred RIA/Robo-advisor compliance experience Working knowledge of FINRA and SEC rules... applicable to BD and RIA environments (e.g., supervision, communications, complaints, AML, custody, marketing) Experience...