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Assistant Ria Firm Jobs in Dallas, TX (NOW HIRING)

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, ...

Allworth Financial

Sr. Data Engineer

Dallas, TX · On-site

$104K - $142K/yr

The firm ranks among the top 15 on Barron's Top 100 RIA Firms list, has a historical client ... * Assist with data cataloging, lineage, metadata management, and governance practices. * Partner ...

TRC Talent Solutions

Onboarding Specialist

Addison, TX

$80K - $85K/yr

TRC's client, a nationally recognized wealth management firm known for its client-first approach ... Take ownership of client requests and ensure timely follow-up and resolution. * Assist in ...

Cresset Capital

ASSOCIATE, HR OPERATIONS

Dallas, TX

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, HR OPERATIONS

Dallas, TX · On-site

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 ...

RSM

Tax Senior Manager - Partnerships

Dallas, TX · On-site

... * Assist with new business development, extended service, and tax issue recognition for existing ... Reviewing research findings and ensure conclusions are consistent with firm policies and ...

Kestra Holdings

Sales - Sales Executive II

Dallas, TX · On-site

... assist clients with trust-related needs. Lead with Purpose. Partner with Impact. As a Sales ... Increase the firm's profitability by cultivating new business relationships and following up on all ...

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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 Dallas, TX?

The most popular types of Ria Firm jobs in Dallas, TX are:

What are popular job titles related to Assistant Ria Firm jobs in Dallas, TX?

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

What job categories do people searching Assistant Ria Firm jobs in Dallas, TX look for?

The top searched job categories for Assistant Ria Firm jobs in Dallas, TX are:

What cities near Dallas, TX are hiring for Assistant Ria Firm jobs?

Cities near Dallas, TX with the most Assistant Ria Firm job openings:

Assistant Ria Firm jobs near you
Infographic showing various Assistant Ria Firm job openings in Dallas, TX as of September 2026, with employment types broken down into 2% As Needed, 77% Full Time, 19% Part Time, and 2% Contract. Highlights an 96% Physical, 1% Hybrid, and 3% Remote job distribution.

Compliance Officer

Dallas, TX • On-site

Hilltop Holdings
Finance and Insurance • 5 - 10K employees
Learn more about Hilltop Holdingsexternal

Full-time

Re-posted 18 days ago

Job description


HilltopSecurities is looking to hire a Compliance Officer who will support both broker-dealer and registered investment adviser compliance functions. The Compliance Department is responsible for ensuring that Hilltop Securities Inc. has effective policies and procedures in place and enforcing those policies as set forth by the industry regulators. The department also holds compliance responsibility for an affiliated broker/dealer (Hilltop Securities Independent Network Inc.). The Compliance Officer responsibilities may include providing investment advisory support, compliance surveillance for, and conduct on-site compliance audits of, branch locations and home office business units. In addition, this position may support advertising and marketing, customer complaints, and regulatory requests and examinations and other departmental projects as assigned by management staff.
Responsibilities
  • 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, 2A, and 2B.
  • Support the annual compliance review required under Rule 206(4)-7 of the Investment Advisers Act.
  • Prepare and conduct on-site compliance inspections of branch and home office locations and communicate the results of those inspections in a professional and unbiased manner.
  • Detect and resolve issues which may present a failure to comply with rules or regulations.
  • Assist with the education of Firm associates with respect to regulatory issues.
  • Assist with the annual CEO Certification process.
  • Provide assistance with tasks related to the review and updating of written supervisory policies.
  • Assist Compliance Management personnel with other duties as assigned.
  • Out of town travel for this position is estimated at 25-30 percent.

Qualifications
  • Bachelor's degree, preferably in business, or equivalent 3-5 years of compliance experience within the broker-dealer and/or registered investment advisor.
  • Series 7 required, or adequate experience working at an investment advisor
  • Series 24, 65, 66 preferred
  • Experience supporting Investment Adviser Representatives (IARs) and advisory programs.
  • Knowledge of compliance and supervision surveillance issues.
  • Effective communication skills, both oral and written.
  • Ability to comprehend complex functions and procedures and disseminate that information in a clear and professional manner to others.
  • Moderate computer skills with an emphasis on Microsoft Office Word, Excel, PowerPoint, Outlook; knowledge of SQL preferred.

The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required and may be changed at the discretion of the Company.
About Us
At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and communities. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success. As a subsidiary of HilltopHoldings, which also encompasses PlainsCapital Bank, and PrimeLending, we have the financial strength and stability that has withstood the test of time. Our nationwide presence in 400 locations across 44 states provides our associates with extensive opportunities to grow their careers in a diverse organization that truly values relationship capital above all else.

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