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

Omers

Director, Legal and Compliance

Toronto, ON · On-site

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 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 key skills and qualifications needed to thrive as an Assistant at an RIA (Registered Investment Advisor) firm, and why are they important?

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 some common challenges faced by an Assistant at a Registered Investment Advisor (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 are Assistant RIA Firm roles?

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 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

Administrative Assistant - Family Planning Office

Harbourfront Wealth Management

Aurora, ON • Hybrid

CA$58K - CA$68K/yr

Full-time

PTO

Posted 10 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.
Built on a foundation of personalized advice, transparency, and long-term relationships, Envision Private Wealth is an advisory practice within Harbourfront Wealth Management, providing comprehensive wealth management and financial planning services to individuals, families, and business owners.
Envision takes a holistic approach to wealth management, helping clients navigate investment planning, retirement planning, estate planning, tax strategies, risk management, and cash flow planning.
Career opportunity:
Our growing financial planning practice is looking for a professional, organized, and client focused Administrative Assistant to join our team. This role is ideal for someone who enjoys providing exceptional client service, managing multiple priorities, and supporting a busy financial planning office.
You will be responsible for:
  • Greet clients and provide a warm, professional first impression.
  • Answer and direct phone calls, respond to emails, and manage correspondence.
  • Schedule client meetings and maintain advisor calendars.
  • Prepare meeting packages and client documentation.
  • Assist with account opening and transfer paperwork.
  • Maintain accurate client records and electronic filing systems.
  • Coordinate follow-up with clients and financial institutions.
  • Prepare reports, presentations, and other administrative documents.
  • Order office supplies and assist with general office administration.
  • Maintain confidentiality and handle sensitive financial information with discretion.

The ideal candidate for this position has:
  • Previous administrative experience, preferably in financial services, banking, wealth management, or a professional office.
  • Proficiency in Microsoft Office (Word, Excel, Outlook).
  • Excellent communication and interpersonal skills.
  • Strong organizational skills with exceptional attention to detail.
  • Ability to prioritize tasks and work independently in a fast-paced environment.
  • professional, dependable, and client-service oriented.
  • Experience with CRM-software & financial planning platforms is considered an asset.
What do we offer:
  • Competitive salary based on experience.
  • A supportive and collaborative team environment.
  • Opportunities for professional development and career growth.
  • Comprehensive training and ongoing earning opportunities.
  • Paid vacation & personal days
  • Employee benefits after 3 months
  • Hybrid (1 day from home after probation)

Salary Range: $58,000 - $68,000 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.