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Assistant Ria Firm Jobs in Surprise, AZ (NOW HIRING)

Sequoia Financial Group Llc

Wealth Planner

Phoenix, AZ · On-site

$49K - $67K/yr

Sequoia Financial Group is a growing Registered Investment Advisor (RIA), headquartered in ... This specialization will drive firm wide philosophy related to the area of expertise and be ...

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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.

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What job categories do people searching Assistant Ria Firm jobs in Surprise, AZ look for?

The top searched job categories for Assistant Ria Firm jobs in Surprise, AZ are:

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Cities near Surprise, AZ with the most Assistant Ria Firm job openings:

Assistant Ria Firm jobs near you

Tax Manager (Private Wealth Management)

Bahnsen Group LLC

Phoenix, AZ • On-site

$110K - $144K/yr

Full-time

Medical, Dental, Vision, Retirement

Re-posted 24 days ago

Job description

ABOUT

At the Bahnsen Group, our vision is to be the highest quality provider of wealth management services to those within our sphere of influence. We do not want to merely be great; we want to be extraordinary; extraordinary in the size and scope of our business, but more importantly, extraordinary in the impact we have on our clients' financial lives.

Consistently ranked as one of the top companies to work for, The Bahnsen Group is a private wealth management firm which has created an exceptional culture for its employees to participate in the fulfillment of its success. The Bahnsen Group has offices in twelve locations around the country (Newport Beach, CA; New York City; Nashville, TN; Minneapolis, MN; Bend, OR; Phoenix, AZ; Austin, TX; West Palm Beach, FL; Grand Rapids, MI; Dallas, TX, Silicon Valley, CA and Pittsburgh, PA) and 95 employees. The firm manages over $9.2 billion of client capital and is widely recognized as one of the leading firms in the industry, consistently ranked as a top advisor by Barron's, Forbes, and the Financial Times. The company was founded in 2015 as a liftout from Morgan Stanley, where company founder, David Bahnsen, was a leading advisor and Managing Director. Since that inception, the company has grown at over +29% per year for ten years running and added a Tax Services department, Risk Department, a comprehensive Family Office offering, and a fully professionalized platform delivering best-in-class client experience.

OPPORTUNITY

The Tax Manager will join a growing Tax Services Department launched in 2023 and now serves over 400 client households. This is a full-time, in-office position based in Newport Beach, CA or Phoenix, AZ.

The Tax Department is intentionally structured to deliver a low volume, high touch client experience. Professionals are expected to provide proactive planning, thoughtful advisory services, and technically sound compliance work for high-net-worth individuals and Family Office clients.

The Tax Manager will work closely with Private Wealth Advisors in a highly collaborative environment, regularly participating in wealth and tax planning meetings to support integrated client advice. From time to time, the role may also involve participation in prospect meetings alongside advisors, as appropriate. The Tax Manager is expected to serve as a trusted tax advisory resource across the firm and will be relied upon by both clients and advisors for thoughtful tax planning and consulting support. The role reports directly to the Tax Director and offers a clear path for increased responsibility as the Tax Department continues to scale.

RESPONSIBILITIES

Client Service & Advisory

  • Provide tax planning, compliance, and advisory services to high-net-worth individuals, Family Office clients, and closely held business entities
  • Act as the primary day-to-day tax contact for assigned client relationships
  • Participate in client meetings to address tax matters, explain planning strategies, and respond to tax-related inquiries
  • Collaborate closely with Wealth Advisors and internal teams to ensure tax strategies align with broader financial objectives

Tax Compliance & Review

  • Review and file a wide range of tax returns, including but not limited to: Forms 1040, 1041, 709, 1065, 1120S, 1120
  • Ensure accuracy, completeness, and timely filing across federal and multi-state jurisdictions
  • May serve as a tax return signer upon approval by the Tax Director
  • Identify technical issues, planning opportunities, and compliance risks during the review process

Technical Research & Planning

  • Research complex federal and state tax issues and prepare clear, well-documented analyses and recommendations
  • Assist in the design and implementation of tax planning strategies under the direction of senior tax leadership
  • Stay current on tax law developments impacting high net worth individuals, trusts, pass-through entities, and multi-state filers

Team Collaboration & Development

  • Provide guidance and mentoring to junior tax staff on tax engagements and best practices
  • Contribute to improvements in workflows, documentation standards, and the overall client experience
  • Continue developing technical expertise through ongoing learning and exposure to complex tax matters

QUALIFICATIONS

  • Minimum 5 years of experience in public accounting or an RIA-based tax environment
  • Prior experience as a Senior Associate / Senior Accountant or Tax Manager required
  • Designations: Active CPA or JD strongly preferred, minimum EA required
  • Bachelor's degree in Accounting, Finance, Economics, Mathematics, or a related field
  • Strong working knowledge of: Individual taxation, S corporations, Partnerships, and Trusts and estates
  • Experience serving high-net-worth individuals and multi-entity family structures
  • Detail-oriented with strong organizational, time management, and prioritization skills
  • Experience with CCH Axcess and CCH Workflow; BNA Tax Planner
  • Proficiency in Microsoft Office (Word, Excel, PowerPoint)

CONSIDERATION

  • Salary commensurate with experience
  • Full benefits package including medical, dental, vision, and disability
  • 401(k) plan with TBG contribution of 3% of compensation
  • Discretionary annual bonus

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