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Assistant Ria Firm Jobs in Arizona (NOW HIRING)

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 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.
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
Associate Wealth Advisor

Associate Wealth Advisor

Stratos Wealth Partners

Scottsdale, AZ • On-site

$70K - $75K/yr

Full-time

Retirement

Re-posted 3 days ago

Job description

Company Description
G&G Wealth is an experienced Scottsdale based team of professionals who strive to provide tailored, expert advice on all aspects of wealth management for a select group of women individuals, families, and businesses both locally and around the country. Our mission and passion are to become a trusted partner to our clients while guiding them through all stages of their financial lives. We strive to: Guide, Grow and Guard Your Preferred Lifestyle.
If you have a passion for helping people achieve their dreams and are looking for an opportunity to learn the world of financial planning, trading, and investing within a collaborative, experienced team culture, then consider an opportunity to join G&G Wealth.
The ideal candidate will have at least 2 years' experience in the financial services industry OR is a recent graduate with a degree in financial planning. The candidate will be hired to work with existing client relationships and will not have business development requirements. This person should also be looking for long-term employment in our N. Scottsdale location.
Job Responsibilities:
  • Work with the Lead Advisor to deliver impactful client meetings. This will entail preparation for meeting including presentations, report generation and client follow-up
  • Work with the Lead Advisor to develop a thorough understanding of each client's financial situation to develop and create comprehensive financial plans
  • Enhance client service experience for clients by deepening the relationships and customizing solutions to helping achieve clients' financial goals Uncover additional investment opportunities through communicating with existing clients, current 401(k) and 403(b) participants and prospects
  • Continually work to improve processes and procedures and identify opportunities to provide enhanced client service.
  • Help provide both verbal and written plans to communicate the recommended solutions following firm guidelines
  • Promote professional development by maintaining an in-depth understanding of financial planning, capital markets and the financial services industry
  • Stay abreast of significant changes or developments (e.g., taxation, regulatory, legal, competitive, and technical) within the fields of investments and financial services
  • Assist with the planning and implementation of 3-4 client appreciation events annually - which may be in the evenings or on the weekend.
  • Maintain all required licenses and designations - strong focus on employee education
  • Competitive salary and potential growth bonus structure offered

  • Minimum of two years related financial planning and client relationship management experience with an RIA, wire house or insurance broker-dealer preferred OR a recent college graduate with a degree in financial planning.
  • Bachelor's Degree in a related field of study.
  • FINRA Series 7 & 65 OR willingness to obtain these licenses.
  • CRM experience (Redtail) a plus, or willingness to learn.
  • LPL ClientWorks system experience is also a plus.
  • Exceptional client relationship management skills - both internal and external client facing.
  • Positive attitude with the ability to effectively manage change and adapt in a continual and rapidly changing environment.
  • Be able to meet deadlines, be very detail process oriented and strong client communication skills.
  • Very organized with the ability to deviate from one project to another.
  • Possess a strong work ethic and the ability to multitask.
  • Accept feedback and constructive criticism well.

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