- Northbrook, Illinois, United States
- $36–$41 per hour
- 2+ years
Manage new client account review and approval as part of the client onboarding process, ensuring documentation completeness and regulatory compliance.
Compensation
The expected salary range for this position is $35.89 an hour to $41.02 an hour
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
Requirements
- Nice to have: Prior experience in new account review or onboarding approval
- Nice to have: Experience with major custodial platforms (Schwab, Fidelity, LPL Financial)
- Nice to have: Familiarity with TAMPs (Envestnet, SEI, AssetMark, Orion Portfolio Solutions)
- Nice to have: Proficiency with Orion, Dispatch, and Microsoft Dynamics CRM