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Assistant Ria Firm Jobs in Darien, CT (NOW HIRING)

TCWGlobal

Client Services Operations Manager

New York, NY · On-site +1

$70K - $90K/yr

... assist with compliance processes, and provide direct support to firm leadership. The ideal candidate has experience in wealth management, financial advisory, financial services, or an RIA ...

TCWGlobal

Client Services Operations Manager

New York, NY · On-site +1

$70K - $90K/yr

... assist with compliance processes, and provide direct support to firm leadership. The ideal candidate has experience in wealth management, financial advisory, financial services, or an RIA ...

Invesco

Client Service Associate

New York, NY · Hybrid

$80K - $85K/yr

... RIA/Broker Dealer firm and have a passion for delivering outstanding client service. About the Role ... Run client information in CRM (Salesforce) * Assist in project execution for team initiatives

Farther

Director, Investment Solutions

New York, NY · On-site +1

Company Description Farther is a rapidly growing RIA that combines expert advisors with cutting ... the firm's growth. Your Impact * Serve as a senior, advisor-facing resource for ad-hoc ...

Citizens

Assistant General Counsel

New York, NY · On-site

$176K - $230K/yr

... brokerage offerings * Assist in responding to regulatory examinations, audits, and inquiries ... the RIA, Broker-Dealer, and/or Trust and Fiduciary space, preferably at a law firm or larger ...

Citizens

Assistant General Counsel

Tarrytown, NY · On-site

$176K - $230K/yr

... brokerage offerings * Assist in responding to regulatory examinations, audits, and inquiries ... the RIA, Broker-Dealer, and/or Trust and Fiduciary space, preferably at a law firm or larger ...

Citizens

Assistant General Counsel

New York, NY · On-site

$176K - $230K/yr

... brokerage offerings * Assist in responding to regulatory examinations, audits, and inquiries ... the RIA, Broker-Dealer, and/or Trust and Fiduciary space, preferably at a law firm or larger ...

Citizens

Assistant General Counsel

Tarrytown, NY · On-site

$176K - $230K/yr

... brokerage offerings * Assist in responding to regulatory examinations, audits, and inquiries ... the RIA, Broker-Dealer, and/or Trust and Fiduciary space, preferably at a law firm or larger ...

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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 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 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 job categories do people searching Assistant Ria Firm jobs in Darien, CT look for?

The top searched job categories for Assistant Ria Firm jobs in Darien, CT are:

What cities near Darien, CT are hiring for Assistant Ria Firm jobs?

Cities near Darien, CT with the most Assistant Ria Firm job openings:

Assistant Ria Firm jobs near you
Infographic showing various Assistant Ria Firm job openings in Darien, CT as of August 2026, with employment types broken down into 1% As Needed, 69% Full Time, 24% Part Time, 1% Temporary, and 5% Contract. Highlights an 98% Physical, 1% Hybrid, and 1% Remote job distribution.

Financial Controller

Trinity Technology Solutions

New York, NY • On-site

Full-time

Re-posted 20 days ago

Job description

Position: Financial Controller
Location:  New York City,NY - Hybrid
Employment Type: Full-Time, On-Site
 
Our client is a thriving independent RIA firm, or Registered Investment Advisor firm,with nearly $2 billion in AUM, committed to providing tailored investment and financial planning solutions for high-net-worth clients. The firm is experiencing rapid growth, with annual expansion of 20–30%. To support this momentum, they are seeking an experienced Controller with a background in wealth management.  This is a high-impact, individual contributor role that not only oversees financial operations but also partners closely with firm leadership to drive long-term growth, enhance operational efficiency, and scale the business for the future.
 
Key Responsibilities of the Controller:
Financial Oversight
 Lead all aspects of the firm’s accounting (AP/AR, payroll, budgeting, cash management, tax filings, etc.) and financial reporting functions.
 Direct month-end closing of the General Ledger; prepare and analyze monthly, quarterly, and annual financial statements.
 Monitor cash flow, profitability, and expense control.
 Coordinate with external accounting vendors who perform financial reviews and due diligence analyses.
 Prepare materials for Board of Directors meetings.
 
Risk Management Compliance
 Collaborate with compliance to ensure financial reporting aligns with SEC/FINRA regulatory requirements.
 Oversee internal controls, policies, and procedures to safeguard firm assets.
 Evaluate operational and financial risks and recommend mitigation strategies.
 
Strategic Leadership
 Partner with the executive team on business strategy, costs optimization, profitability analysis, scenario modeling, and long-term planning.
 Provide financial insights to guide decisions on growth initiatives, acquisitions, technology investments, and hiring.
 Develop KPIs and dashboards to measure and track financial and operational performance.
 Provide insights and recommendations on scaling operations and supporting firm-wide growth.
 
 Operations Efficiency
 Oversee Human Resources functions, including onboarding of new hires.
 Oversee vendor management.
 Assist with the transition to and subsequent enhancement of the ERP system.