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Assistant Ria Firm Jobs in Arizona (NOW HIRING)

RSM

Tax Senior Manager - Partnerships

Phoenix, AZ

... * Assist with new business development, extended service, and tax issue recognition for existing ... Reviewing research findings and ensure conclusions are consistent with firm policies and ...

Sequoia Financial Group Llc

Wealth Planner

Phoenix, AZ · On-site

$49K - $67K/yr

Sequoia Financial Group is a growing Registered Investment Advisor (RIA), headquartered in ... This specialization will drive firm wide philosophy related to the area of expertise and be ...

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Assistant Ria Firm information

What is an assistant at an RIA firm?

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.

What skills and qualifications are needed to thrive as an assistant at an RIA firm?

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 common challenges faced by an assistant at an 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 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 most commonly searched types of Ria Firm jobs in Arizona?

The most popular types of Ria Firm jobs in Arizona are:

What are popular job titles related to Assistant Ria Firm jobs in Arizona?

For Assistant Ria Firm jobs in Arizona, the most frequently searched job titles are:

What job categories do people searching Assistant Ria Firm jobs in Arizona look for?

The top searched job categories for Assistant Ria Firm jobs in Arizona are:

What cities in Arizona are hiring for Assistant Ria Firm jobs?

Cities in Arizona with the most Assistant Ria Firm job openings:

Assistant Ria Firm jobs near you

Operations Associate - Client Services

Parallel Advisors

Scottsdale, AZ • Hybrid

$50K - $72K/yr

Full-time

Medical, Dental, Vision, Retirement

Re-posted 21 days ago

Job description

Job Description:

The Operations Associate will be joining a fast-growing Registered Investment Advisor firm with a culture of entrepreneurship, education, and collaboration. The Associate will assist in the implementation of new client accounts and the ongoing servicing of existing clients. As a member of the operations team, the Associate will work closely with our financial advisors, clients, vendors, and custodian support teams.

This role is based in our Scottsdale office. Parallel Advisors operates on a three-day, in-office hybrid work schedule.
Duties and Responsibilities
    • Optimize the client experience as it relates to operations and service in order to drive high satisfaction, quality, and efficiency for both the client and Parallel.
    • Manage operational needs of our clients during the onboarding process, such as account opening and account transfers.
    • Serve as a resource to multiple financial advisors in onboarding client relationships to Parallel.
    • Lead or participate in cross-functional group projects to improve quality and efficiency within the teams.
Required Skills and Abilities
    • Operational knowledge in four key areas: new accounts, cashiering, transfer of accounts, and account maintenance.
    • Strong organizational, analytical, communication, and interpersonal skills.
    • Ability to work effectively in a fast-paced and deadline-oriented environment. Capability to manage multiple demands and competing priorities.
    • Excellent written and verbal communication skills.
    • Broker/Dealer platform experience a plus.
    • CRM Experience, specifically Salesforce, a plus.
Qualifications
    • Very strong attention to detail and problem solver.
    • Effectively able to solve puzzles and operate within ambiguity.
    • Savvy with technology, especially as it pertains to data entry and systems maintenance.
    • Deadline oriented and highly organized.
    • Ability to work effectively and independently in a fast-paced environment.
    • Ability to be proactive
    • CRM experience (Salesforce preferred).
    • Bachelor's Degree or equivalent work experience
    • Two (2) to five (5) years of experience in financial services
    • Experience working at an RIA preferred
$50,000 - $72,000 a year
Parallel offers a competitive compensation package including:

Salary based upon experience.
Opportunity for a discretionary, semi-annual incentive award.
Benefits including health care, dental, vision, and 401k plans.
Opportunity for support of professional accreditation and continuing education requirements and other professional development.
Company: Parallel Advisors, LLC
- Parallel Advisors is a fast-growing, independent, Registered Investment Advisory firm. We are headquartered in San Francisco, CA and have offices in Arizona, Colorado, Hawaii, Michigan, Ohio, and Texas.
- To enhance our clients' futures, we seek to know where they are today and where they want to be tomorrow. That means understanding not only their assets, such as concentrated stock holdings, real estate, and earning potential but also their aspirations, including all of their future financial goals.
- With this information in-hand, we chart, assess, and evaluate different scenarios based upon their unique objectives, risk tolerances, and time horizons. From this insight, we build a financial framework from which all our recommendations - including savings directives, insurance requirements, and investment strategies - flow. This framework provides a repeatable, measurable way to make objective decisions as to how to allocate their assets now and into their future.
- We offer our clients an open array of investment solutions, fee-based, and independent of any proprietary platforms.
- At Parallel, we combine the best advisors, support staff, and industry-leading technology in collaborative partnership to offer our clients an extraordinary experience.
- Parallel Advisors, LLC is an Equal Opportunity Employer.
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