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Assistant Ria Firm Jobs (NOW HIRING)

JCW Group

RIA Operations Associate

Tampa, FL · On-site

... work environment. * Assist with firm compliance processes, regulatory filings, audits, and ... RIA), investment management firm, financial services organization, or related professional services ...

Apex Staffing, Inc.

Office Manager

Little Rock, AR · On-site

A growing Registered Investment Adviser (RIA) firm is seeking a professional, organized Office ... Coordinate with outside bookkeeper/CPA and assist with expense tracking * Support employee ...

Mercer Advisors

Executive Assistant

Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... The Executive Assistant is a strategic, highly organized, and proactive professional who provides ...

Mercer Advisors

Executive Assistant

Denver, CO

Ranked the #1 RIA Firm in the nation by Barron's for two consecutive years, Mercer Advisors is an ... The Executive Assistant is a strategic, highly organized, and proactive professional who provides ...

Plancorp

Financial Planner

Saint Louis, MO · Hybrid

$73K - $99K/yr

... assist clients in articulating meaningful goals and attaining those goals through actions and strategies consistent with their specified values. Who We Are: * Nationally recognized fee-only RIA firm

BOK Financial

Private Wealth Advisor

Phoenix, AZ

... RIA) firm or as a BOK advisor? If you hold securities and/or insurance licenses you may offer ... Our Advisors also have access to an exceptional Financial Planning team to assist with the planning ...

W3Global Inc.

Financial Planner

Alpharetta, GA

$100K - $150K/yr

Independent registered investment advisory (RIA) firm managing over $400 million in assets for high ... Provide in-depth financial planning support to Financial Advisors * Assist in client acquisition ...

BOK Financial

Private Wealth Advisor

Scottsdale, AZ

... RIA) firm or as a BOK advisor? If you hold securities and/or insurance licenses you may offer ... Our Advisors also have access to an exceptional Financial Planning team to assist with the planning ...

BOK Financial

Private Wealth Advisor

Mesa, AZ

... RIA) firm or as a BOK advisor? If you hold securities and/or insurance licenses you may offer ... Our Advisors also have access to an exceptional Financial Planning team to assist with the planning ...

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All JobsAssistant Ria Firm Jobs

Assistant Ria Firm information

What is the difference between Assistant Ria Firm vs Financial Advisor Assistant?

AspectAssistant Ria FirmFinancial Advisor Assistant
CredentialsTypically requires a FINRA Series 7 or 66 license, relevant financial certificationsOften requires similar licenses, with emphasis on client service and administrative skills
Work EnvironmentLocated within RIA firms, supporting financial advisors in investment managementWorks in financial advisory firms, assisting advisors with client interactions and administrative tasks
Industry UsageCommonly used in registered investment advisory firmsWidely used across financial planning and advisory firms

Both roles support financial professionals, often requiring similar licenses and working in similar environments. The main difference lies in the specific firm type—RIA firms versus broader financial advisory firms—though the responsibilities and credentials overlap significantly.

What are the key skills and qualifications needed to thrive as an Assistant at an RIA (Registered Investment Advisor) firm, and why are they important?

To thrive as an Assistant at an RIA firm, you need strong organizational skills, attention to detail, and a foundational understanding of financial services, often supported by a degree in finance or business. Familiarity with portfolio management systems, CRM software, and compliance platforms is typically required, and certifications like the Series 65 can be advantageous. Excellent communication, discretion, and client service orientation help you stand out in this client-facing, confidential environment. These skills and qualities ensure accurate administrative support, regulatory compliance, and a positive client experience, all of which are vital for a successful advisory practice.

What are some common challenges faced by an Assistant at a Registered Investment Advisor (RIA) firm, and how can they be addressed?

Assistants at RIA firms often manage multiple tasks simultaneously, from client communications to scheduling and document processing, which can make prioritization a challenge. Staying organized and proactive in communication is key to handling urgent requests and supporting advisors efficiently. Additionally, assistants must become familiar with industry regulations and firm-specific processes to ensure compliance and accuracy in client interactions. Building strong relationships with both the advisory team and clients helps facilitate smooth operations and contributes to a positive work environment.

What are Assistant RIA Firm roles?

Assistant RIA Firm roles typically involve providing administrative and operational support within a Registered Investment Advisor (RIA) firm. Responsibilities can include assisting financial advisors with client communications, preparing reports, managing schedules, processing paperwork, and maintaining compliance records. These assistants help ensure that the firm runs smoothly, allowing advisors to focus on client service and investment management. Strong organizational skills, attention to detail, and knowledge of financial industry regulations are valuable for success in this role.
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What are the most commonly searched types of Ria Firm jobs? The most popular types of Ria Firm jobs are:
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Assistant Ria Firm jobs near you
Infographic showing various Assistant Ria Firm job openings in the United States as of June 2026, with employment types broken down into 67% Full Time, and 33% Part Time. Highlights an 100% In-person job distribution.
Client Services Specialist - Registered Investment Adivsor (RIA)

Client Services Specialist - Registered Investment Adivsor (RIA)

Regal Executive Search

Los Angeles, CA

$18.25 - $24.25/hr

Full-time

Posted 26 days ago

Job description


Client Service Specialist - Registered Investments Adviser (RIA)
SUMMARY
We are looking for a Client Service Specialist with up to 3 years experience in a Registered Investments Adviser (RIA) firm environment.
Our client is a full service, boutique investment advisory firm that has built its business to provide a Family Office investment experience to a broader universe of clientele.
As a Registered Investment Adviser (RIA), they provide wealth management and investment services tailored to the unique situations of high net-worth individuals, trusts and family offices.
RESPONSIBILITIES
The CSR will manage the daily 'Client Service' satisfaction for our clients. The CSR is the key person/liaison for onboarding, servicing, tracking, and resolving day to day operational issues with our clients.
They will directly support the service needs as required. You will be working on New Accounts, Account Transfers, Client requests and Money Movement. These areas are required to handle and manage data processing as well as handling of confidential documentation.
  1. Ensure documents are processed and in good order
  2. Responsible for processing new account applications, any money movement requests, and account update requests as well as reviewing client correspondence for our clients
  3. Ensure Documents are saved in correct areas such as Perm Doc Folder in Laser Fische
  4. Maintain New Accounts log in order to keep details of all account opening centralized and organized
  5. Setting up account in Addepar, Junxure, Client Portal, U Drive, Laser Fische
  6. Tic and Tie assets to ensure consistency and completion of Set up
  7. Have basic understanding of Alternative investment process in case assistance is required
  8. Resolve NIGO issue or other discrepancies
  9. Handle large volumes of paperwork in an organized and efficient manner
  10. Maintain a daily workflow in Junxure to ensure our clients request are completed in a timely and efficient manner
  11. A strong eye for detail to complete daily transactions; ensure compliance with internal and industry regulatory requirements
  12. Effectively prioritize work time to ensure productivity standards are achieved
  13. Work as part of a team to deliver exceptional service and provide issue resolution
  14. Listen to client cues and review accounts to engage in a dialogue to identify additional needs and present effective solutions
  15. Deliver client service, positive energy, and problem-solving skills to assist clients in opening their accounts, as well as performing detailed research and follow-up
  16. Receive inbound calls from our clients. Establish clear points of contact for one-stop resolution and for ongoing support and escalations
  17. Demonstrate flexibility and work collaboratively with other team members to deliver high quality service and meet client expectations
  18. Manage multiple tasks effectively by balancing high productivity with excellent service quality
  19. Ad-hoc requests as needed
  20. Maintain clean & locked desk policy

REQUIREMENTS
  1. Up to 3 years working in a Registered Investments Adviser (RIA) company
  2. Bachelors Degree
  3. Strong communications and ability to work in a fast paced environment.

Meet Your Recruiter
Tim Bramley

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