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Assistant Ria Firm Jobs in California (NOW HIRING)

Boldin

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

$90K - $98K/yr

About This Job We are seeking a dynamic and hands-on Assistant Vice President to lead and scale the ... Collaborate closely with the CIO to align distribution efforts with the firm's investment ...

Axos Bank

AVP, Financial Consulting

San Diego, CA · On-site

$90K - $98K/yr

About This Job We are seeking a dynamic and hands-on Assistant Vice President to lead and scale the ... Collaborate closely with the CIO to align distribution efforts with the firm's investment ...

AssetMark

Compliance Specialist

Concord, CA · Hybrid

$85K - $95K/yr

... the firm's Registered Investment Adviser (RIA) and proprietary mutual fund compliance programs ... * Assist in the preparation of materials for Board meetings and other governance activities.

AssetMark, Inc.

Compliance Specialist

Concord, CA · On-site

$85K - $95K/yr

... the firm's Registered Investment Adviser (RIA) and proprietary mutual fund compliance programs ... * Assist in the preparation of materials for Board meetings and other governance activities.

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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.
Associate Portfolio Manager (Bay Area, CA, Hybrid)

Associate Portfolio Manager (Bay Area, CA, Hybrid)

Edelman Financial Engines

Santa Clara, CA • Hybrid

Full-time

Medical, Dental, Retirement

Posted 27 days ago

Edelman Financial Engines rating

9.2

Company rating: 9.2 out of 10

Based on 12 frontline employees who took The Breakroom Quiz

Job description

 
Associate Portfolio Manager (Bay Area, CA, Hybrid)
 
At Edelman Financial Engines (EFE), our purpose is to guide people with the financial advice they need to thrive. 
 
Hybrid in the Bay area, requiring 1 day per week. 
We believe that every dollar saved represents a lifetime of hard work and aspirations, and every dollar invested has job to do for our clients. That’s why we are committed to managing our clients’ investments by truly understanding them as people first and then delivering advice, strategies and solutions to help them feel confident about the plans they are making, whether for today, tomorrow, or in the great unknown future. Our goal is to build long-term relationships based on respect, integrity, and a belief that our responsibility is to help people make smart investments decisions in every stage of their lives.
 
Our culture is grounded in our CORE values: Client First, One Team, Respectful Candor, and Endless Curiosity. These values guide everything we do, for our clients and each other. We are committed to moving forward together. If you are inspired by purpose-driven work and a collaborative, values-led culture, we invite you to explore a career with us.
 
As an Associate Portfolio Manager on the Investment Management Team, you’ll play a pivotal role supporting senior investment professionals in the development and oversight of investment products and processes to help our clients achieve their financial goals.  This is an opportunity to work in a fast-paced and highly collaborative environment, applying your knowledge of finance, investment operations, and product development to develop scalable solutions for clients.
In addition to an earnest desire to help people, we are looking for the ideal candidate to complement the team’s existing talents. For this role, we are seeking a candidate who loves diving into data, solving complex problems, and finding smarter ways to do things.  If you’re passionate about building strong processes and bringing analytical insights to portfolio management, this might be the role for you!
Responsibilities:
 
  • Work with researchers, product and technology, and operations teams to help build, test, and implement new investment strategies
  • Assist in the design and creation of processes and tools to support and scale the portfolio management function
  • Work with wealth planning professionals to develop and manage customized strategies for retail clients
  • Perform ongoing reviews and analysis of our clients’ customized portfolio strategies
  • Help evaluate and ensure the quality of our investment advice and transactions
Requirements:
 
  • BA/BS with strong analytical and quantitative skills and an excellent academic record
  • 5+ years relevant experience in the investment management industry preferred.
  • Strong technical and programming skills, including advanced Excel, SQL, Python for automation and analysis, and data visualization tools such as Tableau and QuickSight.  
  • Good understanding of portfolio theory and knowledge of financial instruments. Familiarity and experience with trading operations, retail wealth management, or retirement plans a plus.
  • Excellent communication and interpersonal skills, and ability to interact with business partners, investment management partners, planners and others
Edelman Financial Engines takes a market-based approach to pay. The expected base salary range for this role nationally is $112,300 - $149,700. However, final base pay will be carefully determined based on several factors, including responsibilities, job-related skills, relevant experience, geographic location, and market conditions. Additionally, this role may be eligible for other forms of compensation and benefits, such as a discretionary bonus, health, dental and other wellness plans, and 401(k) contributions.
 
Your recruiter can share more about the specific benefits eligible for this role during the hiring process.
 
About Edelman Financial Engines 
Since 1986, Edelman Financial Engines has been committed to always acting in the best interests of our clients. We were founded on the belief that all investors – not just the wealthy – deserve access to personal, comprehensive financial planning and investment advice. Recognized by Barron’s as a top RIA firm for eight years in a row (awarded each September (2018-2025) based on prior 12-month data through June 30)1, we support more than 1.27 million clients across 140+ offices nationwide and manage over $324 billion in assets 2. Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated personal financial planner. Every client’s situation and goals are unique, and the powerful fusion of high-tech and high touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves.  
 
For more information, please visit EdelmanFinancialEngines.com. 
 
© 2026 Edelman Financial Engines, LLC. Edelman Financial Engines® is a registered trademark of Edelman Financial Engines, LLC. All advisory services provided by Financial Engines Advisors L.L.C., a federally registered investment advisor. Certain services provided on an educational and guidance basis only. Results are not guaranteed.  
 
For California residents, please see the link for the Privacy Notice for Candidates. California law requires that we provide you this notice about the collection and use of your personal information. Please read it carefully. 
 
Edelman Financial Engines encourages success based on our individual merits and abilities without regard to race, color, religion, creed, sex, gender identity or expression, sexual orientation, pregnancy; marital, domestic partner or civil union status; national origin, citizenship, ancestry, ethnic heritage, genetic information, age, legally recognized disability, military service or veteran status. 
 
Accommodations are modifications or adjustments to the hiring process that would enable you to fully participate in that process. If you need assistance to accommodate a disability, you may request one at any time by either contacting your recruiter or efetalentacquisition@edelmanfinancialengines.com.  
 
1  The Barron’s Top 100 RIA Firms list, an annual ranking of independent advisory firms, is based on qualitative and quantitative criteria. Firms elect to participate but do not pay to be included in the ranking. The 2018 ranking refers to Edelman Financial Services, LLC, which combined its advisory business in its entirety with Financial Engines Advisors L.L.C. (FEA) in November 2018. For the same survey, FEA received a precombination ranking of 12th.  
 
2 Edelman Financial Engines data, as of September 30, 2025. 

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