ZipRecruiter

Log In

1

Assistant Ria Firm Jobs in Toronto, ON (NOW HIRING)

Omers

Director, Legal and Compliance

Toronto, ON

Monitor and assist in assessing and implementing new and emerging regulatory and legal requirements ... RIA compliance program. * Experience at an asset/investment management organization preferred ...

All JobsRia Firm JobsAssistant Ria Firm JobsAssistant Ria Firm Jobs in Toronto, ON

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 Toronto, ON?

For Assistant Ria Firm jobs in Toronto, ON, the most frequently searched job titles are:

What job categories do people searching Assistant Ria Firm jobs in Toronto, ON look for?

The top searched job categories for Assistant Ria Firm jobs in Toronto, ON are:

Assistant Ria Firm jobs near you

Account Processing Associate

Harbourfront Wealth Management

Toronto, ON • On-site

CA$50K - CA$55K/yr

Full-time

Re-posted 21 days ago

Job description

Who we are:
Harbourfront Wealth is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing wealth management firm with over $16 billion in assets under administration, comprised of five integrated entities: CIRO dealer, investment counsel, asset manager, U.S. Registered Investment Advisor (RIA) and insurance company. At Harbourfront Wealth, our core values start with the belief that great people make great companies.
Career opportunity:
We currently have a full-time opportunity for an Account Processing Associate to join our Operations Team. The successful candidate will be responsible for accurately processing account opening & transfer documentation in a timely manner. This role has flexibility on location out of Vancouver, BC, Winnipeg, MB, or Burlington, ON. We are looking for a highly motivated, high performing, results driven candidate who will report to the Senior Manager, Operations. This highly motivated candidate must take personal responsibility for building solid relationships and must have a passion for providing high quality customer service.
You will be responsible for:
  • Monitor MAKO & DocuSign dashboard, updating activity log, uploading any ad hoc forms;
  • Monitoring MAKO straight through process (STP);
  • Review MAKO STP Errors and understanding how to action;
  • Edit and upload account documentation to National Bank Independent Network (NBIN) for processing;
  • Review NBIN system dashboard for status of uploaded documentation and taking necessary actions;
  • Perform quality assurance of data processed by NBIN;
  • Monitor mailboxes and respond to incoming service inquiries within established service standards;
  • Initiate escalation protocols as necessary to achieve timely resolution of outstanding documentation deficiencies;
  • Keep up to date on all procedural and documentation requirement changes;
  • Assist with handling rejected or declined new account opening requests by external processing agent (NBIN);
  • Follow up with NBIN for accounts passed standard SLA;
  • Assist with electronic and/or physical filing of client account documentation;
  • Monitor MAKO dashboard, updating activity log and quality checking data flow on NBINs internal systems;
  • File, organize, and reconcile new account forms and various documentation;
  • Other Duties as Assigned.
  
The ideal candidate for this position has:
 
  • Previous experience in a corporate environment is an asset;
  • Currently pursuing a degree in Finance, Business Administration, or a related field;
  • Good written and verbal communication skills;
  • Good working knowledge with Microsoft Office suite of applications;
  • Ability to work well under pressure and meet required deadlines;
  • Ability to effectively multitask in a fast-paced work environment;
  • Effective organizational skills;
  • Strong attention to detail;
  • Desire to work in a team environment and willingness to assist in other areas when needed;
  • Positive, professional, and friendly attitude;
  • Previous knowledge of National Bank Independent Network back-office process and tools;
  • Experience working with a Securities Brokerage firm is an asset.

Salary Range: $50,000 - $55,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity).  
Diversity and Inclusion
Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.