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Assistant Ria Firm Jobs in California (NOW HIRING)

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 ...

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 ...

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 ...

Axos Bank

AVP, Financial Consulting

Los Angeles, 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 ...

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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 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 August 2026, with employment types broken down into 1% As Needed, 75% Full Time, 21% Part Time, 1% Temporary, and 2% Contract. Highlights an 98% Physical, 1% Hybrid, and 1% Remote job distribution.

Registered Sales Assistant

Windward Capital Management Company

Westwood, CA • On-site

$72K - $90K/yr (+ commission)

Full-time

Medical, Dental, Vision, Retirement

Re-posted 26 days ago

Job description


Registered Sales Assistant
Position reference: RIA/Broker Dealer
Job Posting: 11/01/2021
Organization
A well -established West Los Angeles based financial services firm consisting of two operating entities: an SEC Registered Investment Advisor. We offer investment advice to high net worth and institutional clients, including personal investors, IRA accounts, profit sharing plans, corporations, trusts and foundations. A full-service FINRA registered introducing broker dealer and licensed insurance agency serving retail and institutional clients.
Qualifications
Series 7, 63/66 licenses required. 2-5 years experience with an RIA or broker-dealer in a back-office capacity including order entry. BS/BA College degree or equivalent experience required. A demonstrated expertise with Advent/Moxy or other portfolio management systems is highly desired. Working knowledge with back office brokerage systems is a must. Proficiency with Microsoft Office (Excel and Word) and Adobe Acrobat necessary. This is a highly visible position. Excellent oral and written communication skills and the ability to work well in a coordinated team environment is essential.
Position description

This is a fast-paced industry dealing with highly confidential information. The position is two-fold. First, your responsibilities will include assisting the CEO and other registered representatives in servicing their clients on a daily basis. This includes setting up meetings responding to customer inquiries/requests, preparing presentation packages for client meetings. Your responsibilities will also include trade order entry and release, along with other back office operations and office administration. You will help open customer accounts and due data input for the operations area. Communications with customers is also an essential part of your responsibilities, along with other administrative responsibilities.
Additional information
Locations: Westwood, CA, United States
Position starts: Immediate
Hours: Full-time
Salary range: Based on experience
Duration: Permanent
Work Types: Regular
Contact information
To be provided upon interview selection
How to apply
To apply please e-mail your resume or qualifications to: spene@windwardcapital.com