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Assistant Ria Firm Jobs in California (NOW HIRING)

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RIA Operations Manager

Mill Valley, CA · Remote

$85K - $100K/yr

About This Role Operations Manager / Assistant Full-time • Remote The Operations Manager ... management firm, or financial services environment * Working knowledge of RIA operations ...

Axos Bank

AVP, Financial Consulting

San Diego, CA

About This Job We are seeking a dynamic and hands-on Assistant Vice President to lead and scale the ... Design and execute national distribution strategies to grow AUM and revenue through the firm ...

Regal Executive Search

Accountant Staff Tax

Woodland Hills, CA · On-site

$61K - $82K/yr

Tax Accountant Main Responsibilities include: * Assist Tax Seniors and Managers with Tax Research ... Has experience with Accrual Basis of Accounting * 2 to 3 years in similar capacity in a CPA firm ...

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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 California? The most popular types of Ria Firm jobs in California are:
What are popular job titles related to Assistant Ria Firm jobs in California? For Assistant Ria Firm jobs in California, the most frequently searched job titles are:
What job categories do people searching Assistant Ria Firm jobs in California look for? The top searched job categories for Assistant Ria Firm jobs in California are:
What cities in California are hiring for Assistant Ria Firm jobs? Cities in California with the most Assistant Ria Firm job openings:
Assistant Ria Firm jobs near you
Infographic showing various Assistant Ria Firm job openings in California 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 • On-site

$18.25 - $24.25/hr

Full-time

Posted 14 days ago

Job description

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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