Client Onboarding Specialist
Core
Manage new client account review and approval, ensuring documentation is complete, accurate, and meets regulatory standards before activation.
Role type
Operations Associate (Financial Services)
Builds
New client accounts for Registered Investment Advisors (RIAs)
Domain
Financial Services / Investment Advisory
Required skills
RIA operations experience, regulatory compliance knowledge, documentation review, recordkeeping, cross-functional coordination
Preferred skills
Series 65/66 license, new account review experience, custodial platform familiarity (Schwab, Fidelity, LPL), TAMP familiarity (Envestnet, SEI, AssetMark, Orion), CRM proficiency (Orion, Dispatch, Microsoft Dynamics)
Responsibilities
Review new client account documentation for completeness and adherence to firm policies and regulatory requirements; Serve as an authorized approver for new account onboarding; Identify and resolve documentation deficiencies in coordination with advisors and client service staff; Maintain accurate records in accordance with RIA recordkeeping standards; Escalate issues to compliance as appropriate; Support continuous improvement of onboarding workflows and documentation standards
Seniority
Mid-level, hands-on IC