Associate Financial Planner - Series 7 and Series 66 licenses
Caldwell, ID · On-site
$70K - $75K/yr
... • Assist with financial planning analysis and implementation activities • Support account ... RIA), broker-dealer, or wealth management firm
Associate Financial Planner - Series 7 and Series 66 licenses
Caldwell, ID · On-site
$70K - $75K/yr
... • Assist with financial planning analysis and implementation activities • Support account ... RIA), broker-dealer, or wealth management firm
... • Assist with financial planning analysis and implementation activities • Support account ... RIA), broker-dealer, or wealth management firm
Quick apply
... • Assist with financial planning analysis and implementation activities • Support account ... RIA), broker-dealer, or wealth management firm
Assistant Ria Firm information
What is the difference between Assistant Ria Firm vs Financial Advisor Assistant?
| Aspect | Assistant Ria Firm | Financial Advisor Assistant |
|---|---|---|
| Credentials | Typically requires a FINRA Series 7 or 66 license, relevant financial certifications | Often requires similar licenses, with emphasis on client service and administrative skills |
| Work Environment | Located within RIA firms, supporting financial advisors in investment management | Works in financial advisory firms, assisting advisors with client interactions and administrative tasks |
| Industry Usage | Commonly used in registered investment advisory firms | Widely 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 popular job titles related to Assistant Ria Firm jobs in Idaho? For Assistant Ria Firm jobs in Idaho, the most frequently searched job titles are:
What job categories do people searching Assistant Ria Firm jobs in Idaho look for? The top searched job categories for Assistant Ria Firm jobs in Idaho are:
What cities in Idaho are hiring for Assistant Ria Firm jobs? Cities in Idaho with the most Assistant Ria Firm job openings:
Associate Financial Planner - Series 7 and Series 66 licenses
Caldwell, ID • On-site
$70K - $75K/yr
Full-time
Posted 17 days ago
Job description
Associate Financial Planner
What's In It For You?
• Competitive salary: $70,000-$75,000
• Clear career growth path with increasing responsibilities and client exposure
• Opportunity to earn Series 7 and 66 licenses if not already obtained
• Work closely with experienced Financial Planners and Advisors
• Exposure to high-net-worth client relationships and comprehensive financial planning
• Collaborative and supportive team environment
• Opportunity to participate in client meetings and investment management activities
• Long-term career development within a growing wealth management practice
What You Will Be Doing
• Prepare for client meetings by gathering data, creating agendas, and producing planning materials
• Maintain accurate client information within financial planning and CRM systems
• Coordinate post-meeting follow-up activities and client communications
• Assist with financial planning analysis and implementation activities
• Support account opening, transfers, and ongoing account maintenance
• Assist with portfolio reviews, trading, and account rebalancing activities
• Communicate professionally with clients, advisors, attorneys, CPAs, and other partners
• Monitor client financial situations and identify items requiring advisor attention
• Help manage team workflows and ensure timely completion of client requests
• Participate in client review meetings and gradually assume greater client-facing responsibilities
• Identify opportunities to improve processes and enhance the client experience
What You Will Need
• FINRA Series 7 and Series 66 licenses, or ability to obtain both within 12 months of hire
• 1-2 years of experience in wealth management, financial planning, investment advisory, banking, or financial services preferred
• Bachelor's degree preferred
• Strong analytical, financial, and problem-solving skills
• Excellent verbal and written communication skills
• Highly organized with strong attention to detail
• Ability to manage multiple priorities in a fast-paced environment
• Strong client service mindset and professional demeanor
• Ability to work independently while collaborating effectively with advisors and support staff
Nice to Have
• Experience working with high-net-worth clients
• Experience with financial planning software and CRM systems
• CFP® designation or progress toward obtaining CFP® certification
• Experience with investment account trading and portfolio management support
• Previous experience in a Registered Investment Advisor (RIA), broker-dealer, or wealth management firm
What's In It For You?
• Competitive salary: $70,000-$75,000
• Clear career growth path with increasing responsibilities and client exposure
• Opportunity to earn Series 7 and 66 licenses if not already obtained
• Work closely with experienced Financial Planners and Advisors
• Exposure to high-net-worth client relationships and comprehensive financial planning
• Collaborative and supportive team environment
• Opportunity to participate in client meetings and investment management activities
• Long-term career development within a growing wealth management practice
What You Will Be Doing
• Prepare for client meetings by gathering data, creating agendas, and producing planning materials
• Maintain accurate client information within financial planning and CRM systems
• Coordinate post-meeting follow-up activities and client communications
• Assist with financial planning analysis and implementation activities
• Support account opening, transfers, and ongoing account maintenance
• Assist with portfolio reviews, trading, and account rebalancing activities
• Communicate professionally with clients, advisors, attorneys, CPAs, and other partners
• Monitor client financial situations and identify items requiring advisor attention
• Help manage team workflows and ensure timely completion of client requests
• Participate in client review meetings and gradually assume greater client-facing responsibilities
• Identify opportunities to improve processes and enhance the client experience
What You Will Need
• FINRA Series 7 and Series 66 licenses, or ability to obtain both within 12 months of hire
• 1-2 years of experience in wealth management, financial planning, investment advisory, banking, or financial services preferred
• Bachelor's degree preferred
• Strong analytical, financial, and problem-solving skills
• Excellent verbal and written communication skills
• Highly organized with strong attention to detail
• Ability to manage multiple priorities in a fast-paced environment
• Strong client service mindset and professional demeanor
• Ability to work independently while collaborating effectively with advisors and support staff
Nice to Have
• Experience working with high-net-worth clients
• Experience with financial planning software and CRM systems
• CFP® designation or progress toward obtaining CFP® certification
• Experience with investment account trading and portfolio management support
• Previous experience in a Registered Investment Advisor (RIA), broker-dealer, or wealth management firm
About Talentsearchpro
Sourced by ZipRecruiter
Industry
Human resources consulting services
Company size
1 - 10 Employees
Headquarters location
Oakland, CA, US