The Organization:

The Wealth Alliance is a Melville, New York-based hybrid registered investment advisory firm. WA was founded in 2019 and currently employs over 20 professionals, including Certified Financial Planners, public accountants, investment management analysts, and a top-tier team of service professionals.

The Position:

We are seeking a strategic and experienced Human Resources Director for a Registered Investment Advisor (RIA). This individual will lead and shape the overall HR strategy, aligning it with business goals and ensuring compliance with all legal and regulatory requirements. The HR Director will oversee talent acquisition, compensation and benefits, performance management, and employee relations—fostering a positive, high-performing work environment while driving key HR initiatives to support organizational growth. A critical component of the role includes leading the human capital strategy for mergers and acquisitions, including due diligence, workforce planning, and cultural integration to ensure smooth transitions, mitigate risk, and support long-term success.

Responsibilities:

• Develop and implement HR strategies that align with the RIA's overall business objectives, including talent acquisition, retention, and development. 
• Oversee recruitment, hiring, onboarding, and performance management processes. 
• Address employee concerns, conflicts, and grievances, and develop and enforce policies that promote a positive work environment. 
• Ensure the RIA complies with labor laws, regulations, and industry standards. 
• Develop and implement training programs to enhance employee skills and performance. 
• Manage compensation and benefits programs to attract and retain talent. 
• Oversee the efficient and effective operation of the HR department. 
• Develop and track HR metrics to measure the effectiveness of HR programs and initiatives. 
• Provide leadership and guidance to the HR team and communicate HR policies and procedures effectively. 
• Ensure compliance with SEC regulations related to employee licensing, registration, and conduct.
• Develop a strong understanding of the financial services industry and the specific needs of an RIA.
• Build strong relationships with financial advisors and understand their unique needs and challenges. 
• Ensure adherence to any local regulations around M&A activities that affect employee terms and conditions, safeguarding against legal issues and ensuring a smooth transition.
• Conduct due diligence on the target company's HR practices, developing workforce plans, managing communication and change, and facilitating cultural integration. 
• Ensure compliance with HR-related laws and regulations and oversee the integration of HR systems, policies, and practices post-merger.
• Assess potential risks and identify synergies that can be leveraged pre/post M&A activities.

Qualifications:

• Bachelor's degree in Human Resources, Business Administration, or a related field, with a Master's degree preferred. 
• Significant experience in HR management, with experience in the financial services industry a plus. 
• In-depth knowledge of employment law, HR policies and procedures, and industry best practices. 
• Excellent leadership, communication, interpersonal, and problem-solving skills. 
• Ability to adapt to a fast-paced and changing environment. 
• Prioritize a varied and diverse set of tasks in order to set appropriate priority on both short and long-term goals.

Salary & Benefits:

• $150,000-$200,000, BOE
• Medical, Dental & Vision
• Basic and Supplemental Life, AD&D Insurance, Disability
• Flexible Spending Account, Health Savings Account
• Employee Assistance Program
• 401(k)