Client Onboarding Specialist
HUB International•Northbrook, IL
•$36 - $41
About The Position
We are seeking a detail-oriented operations professional to manage new client account review and approval as part of our client onboarding process. This role ensures all new account documentation is complete, accurate, and meets firm and regulatory standards before accounts are activated — serving as a key quality control function within the operations team.
Requirements
- 2+ years of experience in RIA or financial services operations
- High attention to detail with ability to manage volume while maintaining accuracy
- Strong communication skills for cross-functional coordination with advisors and compliance
Nice To Haves
- Series 65 or Series 66 license strongly preferred
- Familiarity with investment advisory agreements, custodial account documentation, and suitability requirements
- Prior experience in a new account review or onboarding approval capacity
- Experience with major custodial platforms (e.g., Schwab, Fidelity, LPL Financial)
- Familiarity with TAMPs (e.g., Envestnet, SEI, AssetMark, Orion Portfolio Solutions)
- Proficiency with Orion, Dispatch, and Microsoft Dynamics CRM
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
Benefits
- Medical, Dental, Vision, and Prescription Drug Coverage
- Health Plan Reimbursement Program
- Health Savings Account (HSA) and Flexible Spending Accounts (FSAs)
- 401(k) Savings Plan
- Life and Disability Plans
- Long-Term Care
- Employee Assistance Program (EAP)
- Comprehensive Wellness Program
- Identity Theft Protection, Group Legal, Accident, Critical Illness, and Pet Insurance
- Low-Cost Loan Program and Student Loan Resources
- Vacation, Holiday, Sick, and Personal Time Off
- Flexible Work Arrangements
- Dress for Your Day Policy
- Comprehensive Onboarding and Continuing Education
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
