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Assistant Ria Firm Jobs in Chicago, IL (NOW HIRING)

Cresset Capital

ASSOCIATE, DATA ENGINEER

Chicago, IL · On-site

$85K - $110K/yr

About Cresset Cresset is a firm built by clients, for clients. As an independent, award-winning ... Recognized by Barron's and Forbes among the nation's top RIA firms, and as one of the industry ...

Cresset Capital

ASSOCIATE, DATA ENGINEER

Chicago, IL

$16.50 - $21.50/hr

About Cresset Cresset is a firm built by clients, for clients. As an independent, award-winning ... Recognized by Barron's and Forbes among the nation's top RIA firms, and as one of the industry ...

Advyzon

Associate Compliance Specialist

Lisle, IL · On-site

This role reports directly to the COO/CCO and will play a key role in building and scaling the firm ... Support regulatory filings, reporting, and ongoing compliance obligations. * Assist in developing ...

Advyzon

Associate Compliance Specialist

Lisle, IL · On-site

This role reports directly to the COO/CCO and will play a key role in building and scaling the firm ... Support regulatory filings, reporting, and ongoing compliance obligations. * Assist in developing ...

hightower

Internal Integration Associate

Chicago, IL · Hybrid

$75K/yr

Our Story Founded in 2008, Hightower is a wealth management firm that provides investment ... S., we operate as a registered investment advisor (RIA). Your Future Team As an Internal ...

Hightower

Internal Integration Associate

Chicago, IL · On-site

$75K/yr

Our Story Founded in 2008, Hightower is a wealth management firm that provides investment ... S., we operate as a registered investment advisor (RIA). Your Future Team As an Internal ...

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All JobsAssistant Ria Firm JobsAssistant Ria Firm Jobs in Chicago, IL

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 Chicago, IL? The most popular types of Ria Firm jobs in Chicago, IL are:
What are popular job titles related to Assistant Ria Firm jobs in Chicago, IL? For Assistant Ria Firm jobs in Chicago, IL, the most frequently searched job titles are:
What job categories do people searching Assistant Ria Firm jobs in Chicago, IL look for? The top searched job categories for Assistant Ria Firm jobs in Chicago, IL are:
What cities near Chicago, IL are hiring for Assistant Ria Firm jobs? Cities near Chicago, IL with the most Assistant Ria Firm job openings:
Assistant Ria Firm jobs near you
Infographic showing various Assistant Ria Firm job openings in Chicago, IL as of June 2026, with employment types broken down into 65% Full Time, and 35% Part Time. Highlights an 100% In-person job distribution.
Supervisor BD/RIA (Series 7&24)

Supervisor BD/RIA (Series 7&24)

San Blas Securities

Chicago, IL • On-site

$65K - $115K/yr

Full-time

Posted 28 days ago

Job description

About San Blas Securities:
San Blas Securities is a rapidly growing, full-service investment bank and independent advisor network. We provide our advisors and their clients with exceptional service and innovative financial solutions. We foster a collaborative and supportive work environment where our employees can thrive and grow professionally.
We are seeking a highly organized and detail-oriented Compliance Supervisor to help support our regulatory and compliance efforts. This is an opportunity to work with the Compliance team led by the Chief Compliance Officer in a highly collaborative atmosphere. The position is full-time, based in Chicago, with less than 10% travel. Adhere to FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated people that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.
Competitive Compensation + bonus based on experience.  $80 - $100K
Responsibilities include:
  • Review and enforce the firms Written Supervisory Procedures and Compliance initiatives.
  • Manage Firm’s Onboarding Training Program for compliance with new hires
    • Schedule new hire training
    • Assist in administering firm annual training and advisor attestations
    • Schedule targeted training as required
  • Foster a culture of compliance
  • Document supervisory activities
  • Review advisors purchase and sales blotter
  • Review advisors communications to (and from) clients
  • Review/report customer complaints to CCO
  • Assist in conducting Branch Exams
  • Assist in review and follow up with exception reports generated by Compliance which require action from supervisors
Qualifications
  • Bachelor’s degree or experience equivalent
  • FINRA Series 7 and FINRA Series 24 required
  • 3 – 5 years relevant experience at RIA and BD or industry regulator
  • Working knowledge of the Investment Advisers Act, the Investment Company Act, and related regulatory requirements; application of SEC rules
  • Familiarity with RBC and Schwab back-office a plus

 

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