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Assistant Ria Firm Jobs in Rochester, NY (NOW HIRING)

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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 Rochester, NY?

The most popular types of Ria Firm jobs in Rochester, NY are:

What are popular job titles related to Assistant Ria Firm jobs in Rochester, NY?

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

What job categories do people searching Assistant Ria Firm jobs in Rochester, NY look for?

The top searched job categories for Assistant Ria Firm jobs in Rochester, NY are:

What cities near Rochester, NY are hiring for Assistant Ria Firm jobs?

Cities near Rochester, NY with the most Assistant Ria Firm job openings:

Assistant Ria Firm jobs near you

Client Service Associate

High Probability Advisors, LLC

Rochester, NY • On-site

$65K - $85K/yr

Other

Medical, Dental, Vision, Retirement, PTO

Posted 6 days ago

Key responsibilities

  • Manage the client onboarding process, open new accounts, and ensure documentation is accurate and compliant.

  • Support client inquiries, resolve issues, and handle account related requests, including preparing and delivering quarterly performance reports.

  • Execute money movement transactions and assist in maintaining and updating the firm’s compliance documentation.

Job description

Summary


High Probability Advisors (HPA) is looking for an experienced Client Service Associate. This position will support the Financial Advisor Team at HPA while assisting in the management of all aspects of the client experience.


Responsibilities


Client Onboarding & Account Management:

  • Managing the client onboarding process, opening new accounts, and ensuring documentation is accurate and compliant.
  • Track and follow up on incoming account funding.
  • Maintain accurate client records in the CRM database and HPA files.


Client Service & Communication:

  • Support client inquiries, resolve issues, and handle account related requests.
  • Assist with preparation and delivery of quarterly performance reports.
  • Provide necessary data to 3rd parties (accountants, consultants).
  • Monitor RMD (Required Minimum Distribution) schedules for IRA clients to ensure compliance.
  • Assist clients with 1099 tax inquiries.
  • Document procedures for processing client requests.


Operations & Compliance Support:

  • Execute money movement transactions (checks, ACH, wires).
  • Assist in maintaining and updating the firm Compliance Manual and ADV materials. This includes monthly, quarterly and annual processes to ensure HPA’s compliance with regulatory requirements.


Administrative & Team Support:

  • Support HPA Advisors with daily activities and client relationships, including assisting with incoming phone calls and visitors.
  • Facilitate firm-wide bulk mailings.
  • Act as a backup for other operational roles within the firm. Perform other duties as assigned and assist with ad-hoc projects to support department & firm goals.


Qualifications


  • Experience: 5+ years of customer service/administrative experience. Investment advisory industry experience preferred.
  • Education: A minimum of a Bachelor’s or Associate degree.
  • Technical Skills: Proficiency in Microsoft Office Suite (Word, Excel, Outlook, PowerPoint, Teams) and experience with CRM software.
  • Soft Skills: Strong attention to detail, ability to prioritize tasks under deadlines, ability to multi-task, and professional communication skills. Entrepreneurial mindset and ability to manage complex workflows in a fast-paced environment.


Compensation


$65,000-$85,000 expected base salary, broadly commensurate with experience. Total compensation also includes bonus, employer 401(k) plan and company match, Paid Time Off (PTO), and health, dental, & vision insurance.

Work Environment


This is an on-site position. The work environment is an indoor, climate-controlled office setting. Reasonable accommodation may be made to enable individuals with disabilities to perform the essential functions.

About High Probability Advisors


High Probability Advisors is a Registered Investment Advisor (RIA) headquartered in Pittsford, NY. We serve high net worth individuals, large multigenerational families, institutions, businesses, and retirement plans with innovative investment management, financial planning, and retirement plan advisory solutions. We believe our solutions provide our clients with consistency in reaching long-term risk/return expectations and, when combined with behavioral/planning components, the highest probability of success. 

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