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Assistant Ria Firm Jobs in Connecticut (NOW HIRING)

CAPZONE MANAGEMENT, LLC

Associate Attorney

Norwalk, CT · Hybrid

$124K - $125K/yr

... firm's RIA. * Monitor evolving laws and regulations relevant to the company's operations and advise on compliance strategies. * Assist in developing internal policies and procedures. Commercial ...

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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 Connecticut? The most popular types of Ria Firm jobs in Connecticut are:
What are popular job titles related to Assistant Ria Firm jobs in Connecticut? For Assistant Ria Firm jobs in Connecticut, the most frequently searched job titles are:
What job categories do people searching Assistant Ria Firm jobs in Connecticut look for? The top searched job categories for Assistant Ria Firm jobs in Connecticut are:
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Assistant Ria Firm jobs near you
Client Service Associate Intern - Strata Wealth Partners

Client Service Associate Intern - Strata Wealth Partners

HighTower Advisors

Norwich, CT • Hybrid

$21/hr

Other

Retirement

Posted 10 days ago

Job description

Client Service Associate Intern

Strata Wealth Partners is a boutique wealth management practice, providing comprehensive financial planning and sophisticated portfolio management to successful entrepreneurs and families since 1983. We work with small and mid-sized business owners at every stage of the "business journey" while also creating and implementing strategic personalized plans to help every client shape a legacy and achieve goals.

This part-time, hybrid on-site/off-site Client Service Associate Intern role is located in Norwich, CT. As an intern, you will have the opportunity to be involved in day-to-day tasks that support our clients and team. You will assist with client outreach, account maintenance, and other administrative tasks while learning valuable insights about the industry the Financial Advisor role. In fact, ideally, this position would lead to a full-time role on the team, ultimately transitioning to a full junior financial advisory position.

If you are a career motivated and detail-oriented person with a passion for client service and the financial services industry, we encourage you to apply! You will report to the Managing Director.

What You'll Bring

  • Undergraduate, junior level or higher
  • Prior experience or coursework in finance, business, or a related field is a plus
  • Academic focus on investments, finance, business, or economics
  • Will demonstrate an interest in, and aptitude for, investment research, portfolio management, financial markets, and most of all, client service
  • Excellent attention to detail and accuracy
  • Ability to prioritize and multitask in a fast-paced environment
  • Strong verbal and written communication skills
  • Ability to work independently, manage time, establish priorities, and meet deadlines
  • Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint)
  • Ability to commit to ~15-20 hour work week

What We Offer

  • Opportunity for career track growth within Strata Wealth Partners' Financial Advisor path
  • Opportunity to increase knowledge and experience in wealth management
  • Be mentored by experienced professionals
  • Gain market knowledge
  • Hourly salary of $21.00

Hightower's Story

Founded in 2008, Hightower is a wealth management firm that provides investment, financial and retirement planning services to individuals, foundations and family offices, and 401(k) consulting and cash management services to corporations. Hightower's capital solutions, operational support services, size and scale empower its vibrant community of independent-minded wealth advisors to grow their businesses and help their clients achieve their financial vision. Based in Chicago with advisors across the U.S., we operate as a registered investment advisor (RIA).

AN EQUAL OPPORTUNITY EMPLOYER: Hightower is an equal opportunity employer and does not discriminate based on race, color, religion, sex, sexual orientation, pregnancy, marital status, national origin, citizenship, veteran status, ancestry, age (over 40), physical or mental disability, medical condition (cancer-related), gender identity or expression, genetic information including sickle cell or hemoglobin C trait, or any other consideration made unlawful by applicable federal, state, or local law.

You are a U.S. citizen, U.S. permanent resident or have other unrestricted U.S. work authorization and will not require sponsorship for U.S. work authorization now or anytime in the future.

Hightower Advisors, LLC is an SEC registered investment adviser. Registration as an investment advisor does not imply a certain level of skill or training. Securities are offered through Hightower Securities, LLC, Member FINRA/SIPC.

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