Ria Operations Analyst Jobs

The RIA Operations Analyst supports Transamerica Financial Advisors, Inc. (TFA) Registered Investment Advisor (RIA) in all facets of business, including but not limited to operations, marketing, and field relations. Interacts closely with TFA’s compliance, operations, and technology teams to develop, refine and maintain platforms and brand for the Wealth Management department. Works with technical, operational and marketing aspects of RIA programs. Supports the creation and development of internal and external marketing materials.
Responsibilities

• Assist the RIA with operational issues.
• Keep informed of FINRA/SEC regulations and industry practices regarding document requirements and account registrations.
• Create and coordinate internal and external marketing initiatives including printed marketing material, presentations, videos, etc.
• Coordinate billing and resolves escalated billing issues.
• Handle ad hoc projects related to the RIA.
• Train new/existing associates on advisory and brokerage related issues.
• Perform data entry on the firm’s Caesar back office system.
• Coordinate and conduct external and internal training via webinars.
• Assist team in maintaining the department Operations manual.
• Work with Compliance, Operations, Technology and external vendors to resolve issues related to RIA business processes.
• Answer incoming inquiries and places outgoing calls to Investment Advisor Representatives, outside vendors, and other home office personnel.

Qualifications

• FINRA Series 6, 63 and 65 or Series 6 and 66. (or obtain within six months)
• The ability to work under pressure of deadlines
• Proficiency in MS Office (Outlook, Excel, Word, PowerPoint)
• Three years of RIA and/or broker/dealer experience
• Accurate data entry skills and strong attention to detail
• Excellent organizational and prioritization skills to manage work load/process large volumes
• Excellent written/oral communication, interpersonal and customer service skills
• Associate’s degree in a business field or equivalent experience

Preferred Qualifications

• Familiarity with insurance, mutual funds, equity and related products
• Understanding of broker/dealer back office and imaging systems

Working Conditions

• Overtime required during peak periods
• Remote work
• Occasional travel

Compensation
**Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to applicable pay transparency and compensation posting laws. It is estimated based on what a successful candidate might be paid in certain Company locations.**
The Salary for this position generally ranges between $45K-54K. This range is an estimate, based on potential qualifications and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at Company discretion.