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Assistant Ria Firm Jobs in Texas (NOW HIRING)

Wealth Enhancement Group

Financial Advisor

Houston, TX · On-site

About Wealth Enhancement Group Wealth Enhancement Group is an independent wealth management firm ... Primary Job Functions Manage client relationships and assist senior advisors with management of ...

Hines

Assistant General Counsel - Employment

Houston, TX · On-site

$180 - $280/hr

... firm's global platform. This role will provide practical, business-focused advice on employment ... RIA AUM as of December 31, 2023. We are an equal opportunity employer and support workforce ...

Hilltop Holdings

Compliance Officer

Dallas, TX · On-site

Support the administration and enhancement of the firm's Registered Investment Adviser (RIA) compliance program. * Assist with the preparation, maintenance, and annual updating of Form ADV Parts 1, ...

Hilltop Holdings

Compliance Officer

Dallas, TX · On-site

Support the administration and enhancement of the firm's Registered Investment Adviser (RIA) compliance program. * Assist with the preparation, maintenance, and annual updating of Form ADV Parts 1, ...

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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 Texas?

The most popular types of Ria Firm jobs in Texas are:

What are popular job titles related to Assistant Ria Firm jobs in Texas?

For Assistant Ria Firm jobs in Texas, the most frequently searched job titles are:

What job categories do people searching Assistant Ria Firm jobs in Texas look for?

The top searched job categories for Assistant Ria Firm jobs in Texas are:

What cities in Texas are hiring for Assistant Ria Firm jobs?

Cities in Texas with the most Assistant Ria Firm job openings:

Assistant Ria Firm jobs near you
Infographic showing various Assistant Ria Firm job openings in Texas as of August 2026, with employment types broken down into 1% As Needed, 76% Full Time, 20% Part Time, 1% Temporary, and 2% Contract. Highlights an 97% Physical, 1% Hybrid, and 2% Remote job distribution.

Financial Advisor

Wealth Enhancement Group

Houston, TX • On-site

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 21 days ago

Key responsibilities

  • Assist senior advisors in managing client relationships and preparing for client meetings.

  • Facilitate the financial planning process by discovering client goals, understanding their financial situation, and conducting annual reviews.

  • Source and close prospective clients through follow-up, networking, and driving referrals.

Job description

About Wealth Enhancement Group

Wealth Enhancement Group is an independent wealth management firm with an endless passion for enriching the lives of our clients. We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond the standard approach. We proudly provide unique financial plans and investment management services to over 55,000 households from our over 100 offices - and growing - nationwide.

Since 1997, Wealth Enhancement Group has tirelessly raised the standard of wealth management with specialized knowledge and more attentive service that helps every client craft their future. For more information, please visit www.wealthenhancement.com.

Our West Houston, TX office is looking for a Financial Advisor working as part of an advisory team to help clients achieve their financial goals, provide client service that exceeds the client's expectations. Our team members work together to meet company objectives for customer service quality, client retention and sales growth.

Primary Job Functions

Manage client relationships and assist senior advisors with management of complex clients to the WEG planning-based standard of identity

  • Facilitate the financial planning process

  • Discover a prospect or client's values, goals and objectives

  • Understand their current financial situation

  • Engage them in the financial planning process

  • Prepare and conduct annual reviews, including both planning and investment topics

Source and close prospective clients

  • Proactively follow up with clients who have not implemented financial plan

  • Close leads provided by various WEG channels (Marketing, CRP, etc.)

  • Create opportunities within your network

  • Drive referrals from existing clients

Manage client relationships and client service as needed

  • Assist the Financial Advisor during client meetings and with follow-up

  • Take meeting notes and promptly enter into the CRM

  • Present financial advice or plan to client with the Financial Advisor

  • Meet with client to obtain additional planning information, or to clarify/confirm information provided

  • Analyze client's current investments and insurance policies

  • Placing trades and account management

Participate in Wealth Enhancement Group trainings, educational events, coaching programs, and proficient in advisor/client facing technology

Adherence to the Wealth Enhancement Group's Corporate Communication Strategy and in good compliance standing

Education/Qualifications

  • Requires a 4-year degree; business, finance, economics preferred

  • Advanced designation required (CFP, CPA, MBA, etc.)

  • Series 7, 66 (BD/RIA)

  • Series 65 (RIA Only)

  • Insurance Licenses

  • 4+ years of experience within the wealth management industry

  • Ability to source and convert prospects to clients and provide high-level planning-oriented service

  • Possess excellent analytical, organizational, and communication skills (both oral & written)

  • Ability to manage multiple projects at once

  • Engagement in WEG, broader community and active participation in financial planning community

Comprehensive Benefits Offerings

Our benefits aim to balance four key elements that make life and work meaningful: health and wellness, financial well-being, professional development, and work/life harmony. You may participate in the following benefits & development opportunities:

  • Training and professional development

  • Medical and dental coverage

  • 401k - with match and profit sharing

  • Health care spending and savings accounts

  • Dependent care spending account

  • Vision coverage

  • Wellness programs and resources

  • Life insurance - employer paid

  • Short-term and long-term disability - employer paid

  • Paid Time Off

  • 10 paid holidays each year

  • Paid parental leave

  • Tuition reimbursement

Should you need reasonable accommodation when completing the application form or during the selection process, contact the Human Resources Department at 763-417-1700


Information provided on this application will be kept confidential and only be shared with those involved in the selection process.
Equal Opportunity Employer, including disabled and veterans. This organization participates in E-Verify.

Click the following link to view Federal and E-Verify posters: Link

OSHA Requirements: This position requires the ability to stand or sit for long periods of time, file documents in high or low cabinets, to use the telephone and to use the computer systems.

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