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Assistant Ria Firm Jobs in Morristown, NJ (NOW HIRING)

Private Advisor Group

Operations Associate

Morristown, NJ · On-site

$55K - $60K/yr

... RIA) firm and ensuring a high-quality service experience. The ideal candidate is detail-oriented ... Systems and Data Management * Assist with maintenance of accurate client, Advisor and account data ...

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 Strategy

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

$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 ...

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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 popular job titles related to Assistant Ria Firm jobs in Morristown, NJ?

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

What job categories do people searching Assistant Ria Firm jobs in Morristown, NJ look for?

The top searched job categories for Assistant Ria Firm jobs in Morristown, NJ are:

What cities near Morristown, NJ are hiring for Assistant Ria Firm jobs?

Cities near Morristown, NJ with the most Assistant Ria Firm job openings:

Assistant Ria Firm jobs near you
Infographic showing various Assistant Ria Firm job openings in Morristown, NJ as of August 2026, with employment types broken down into 2% As Needed, 69% Full Time, 26% Part Time, 1% Temporary, and 2% Contract. Highlights an 98% Physical, 1% Hybrid, and 1% Remote job distribution.

Operations Associate

Private Advisor Group

Morristown, NJ • On-site

$55K - $60K/yr

Other

Medical, Dental, Vision, Retirement, PTO

Posted 4 days ago

Job description

Private Advisor Group


Operations Associate


What we are looking for: 

This position works closely with advisors, internal colleagues and custodial partners to deliver accurate, timely, and compliant operational support across account lifecycle management, data integrity, and process improvement. The Operations Associate plays a critical role in supporting the day-to-day operational execution of a Registered Investment Advisor (RIA) firm and ensuring a high-quality service experience. The ideal candidate is detail-oriented, proactive, and thrives in a fast-paced, service-driven RIA environment. This position reports to the Director of Operations and is located in the Morristown, NJ area.


Essential Duties and Responsibilities:

Systems and Data Management

  • Assist with maintenance of accurate client, Advisor and account data across internal systems 
  • Assist with reconciliations and data validation efforts and investigate discrepancies
  • Support operational reporting and data audits
  • Support system enhancements, upgrades and workflow optimization efforts
  • Maintain records and documentation

Advisor and Client Service Support

  • Serve as an operational resource to advisors and client service teams
  • Respond to operational inquiries
  • Coordinate with advisors, colleagues and custodial partners to resolve operational issues efficiently and professionally
  • Escalate potential operational risks and service trends in a timely and appropriate manner

Process Improvement

  • Identify opportunities to streamline operational processes and recommend improvements
  • Assist with documenting and updating operational procedures and workflows
  • Contribute to operational best practices that support scalability and consistency
  • Collaborate cross-functionally to support firm initiatives, growth, and service model enhancements


Required Qualifications:

  • 1–3 years of financial services operations experience in a hybrid RIA or broker-dealer environment 
  • Familiarity with RIA or wealth management environments
  • Contribute to scalable operational best practices supporting firm growth
  • Ability to manage multiple priorities
  • Proficiency with Microsoft Office applications
  • Operational excellence and accountability 
  • Strong communication skills and follow-through
  • Adaptability in a complex, multi-platform environment
  • Strong work ethic and accountability
  • Process driven with continuous improvement focus
  • Service first mindset
  • Willingness to learn and accept feedback


Preferred Qualifications:

  • Experience with custodians (e.g. LPL Financial, Fidelity, Schwab)
  • CRM and portfolio management system experience (e.g. Salesforce)
  • Knowledge of SEC and FINRA requirements
  • Series 7, 63, and/or 65 (or 66) licenses or willingness to obtain


Performance Measures:

  • Timely and accurate transaction processing
  • Reduction in operational errors and NIGOs
  • Responsiveness to internal and advisor service requests
  • Contribution to improved workflows and scalable processes


Compensation: 

Annual salary $55,000-$60,000, with the potential to earn a bonus.


Work location and hours: 

This is a full-time onsite position.


Exempt / Non-Exempt:

Exempt 


Benefits:

  • Generous PTO policy
  • Company paid Health Insurance
  • Vison 
  • Dental
  • 401k

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