President, BD/RIA

President, BD/RIA

President, BD/RIA
Tech Enabled Financial Services Firm
July 28, 2022
Austin, TX (Hybrid option available), United States



Fast growing, technology enabled Financial Services Firm seeks a President for the RIA/BD division to provide strategic, operational, financial, and regulatory oversight. The firm has been doubling revenues year over year while maintaining a collegial and balanced culture. Voted among best places to work in Austin, Texas.

Relocation Package Available


  • Provide thought leadership and lead all communications with partners, regulatory entities, clients, and sponsors with a specific focus on streamlining the approval process from FINRA regarding developing and launching new technologies and concepts related to real estate private placements.
  • Partner with parent company executives and staff on key initiatives and special projects to provide input on regulatory issues, industry best practices, and practical implementation.
  • Lead the development and implementation of the organization's long and short-term strategies to specifically enable the growth and compliance of the organization's Wealth Management Team.
  • Head up project management for all BD/RIA special projects including re-vamping the RIA compliance and supervisory processes.
  • Competitive compensation package includes base, bonus, stock options and excellent benefits.


  • Active FINRA licensing to include Series 7, 63, 65, 66, and 24.
  • 10+ years' experience in leadership and/or strategy roles with Broker Dealers with strong relationships within FINRA
  • Deep understanding of direct private placement and alternative investments
  • Deep understanding of regulatory issues related to investment analysis tools
  • Knowledge of Delaware Statutory Trust (DST) and REITs a strong plus
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