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Job Description

A client of Insight Global is seeking a hands-on operations and client servicing role supporting both advisors and clients. The ideal candidate will confidently “step in” to a variety of tasks, balancing administrative rigor with responsive, top-tier client service. You’ll be relied on for your operational excellence, sound compliance instincts, and strong organizational skills in a deadline-driven environment.

Key Responsibilities

Client Servicing & Administration

• Execute all aspects of client onboarding and transitions: manage ACATs, KYC, account opening/transfer documentation, ensuring accuracy and speed.

• Respond promptly and professionally to client inquiries, addressing administrative needs and coordinating with advisors.

• Serve as main point of contact between clients, advisors, custodians, and internal stakeholders.

• Support client services manager in payroll and other administrative functions as needed.

Compliance Support

• Monitor advisor licensing/registration, track deadlines and renewals, and maintain licensing records in line with SEC/FINRA/RIA-C guidance.

• Conduct periodic AML/KYC reviews and work with CEO and consultants to implement ongoing enhancements.

• Help maintain and organize compliance files, support audit requests, and ensure recordkeeping procedures are followed.

• Integrate external compliance advice from consultancy (e.g., ACA) with internal processes.

Operations Support

• Handle data entry and reconciliation; manage account-related queries and follow up on outstanding items.

• Produce reports, maintain documentation, and support advisors in clearing backlog.

• Liaise regularly with custodians and third-party providers.

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to [email protected] learn more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy: https://insightglobal.com/workforce-privacy-policy/.

Skills and Requirements

Required Qualifications & Skills

• Experience with a leading RIA or fiduciary environment (securities, banking, or another RIA); experience at a large wirehouse/waterhouse is a plus.

• Familiarity with the regulatory landscape (SEC/FINRA/RIA-C) and fluent in operational best practices.

• Proficient with Redtail (CRM), Orion portfolio accounting/operations, and compliance tracking tools (ComplianceAlpha preferred).

• Strong client service orientation and exceptional organizational skills; able to prioritize, follow procedures, and document meticulously.

• Comfortable in a high-pressure, ultra-high-net-worth environment, collaborating with both internal team and external consultants.

• Financial testing/registrations (Series 53, 24, or Registered Rep) is an asset; must be able to pass industry exams as needed.