Job Description

The Onboarding Associate is responsible for ensuring a seamless transition experience for financial advisors joining the broker-dealer. This role focuses on coordinating all aspects of the onboarding process, including advisor transitions, account openings, and the setup of custodial relationships. The Onboarding Associate serves as a key liaison between advisors, custodians, and internal departments to deliver an efficient and client-focused transition.

Key Responsibilities

• Coordinate and manage the transition process for new financial advisors joining the broker-dealer.
• Facilitate the opening and onboarding of new client accounts across multiple custodians.
• Act as the main point of contact for advisors during the onboarding period, providing guidance and support.
• Review and process account documentation to ensure accuracy, compliance, and timely setup.
• Collaborate with internal departments (Compliance, Operations, Technology, and Advisor Support) to ensure smooth transitions.
• Track and report on onboarding progress, identifying potential bottlenecks and proactively resolving issues.
• Ensure adherence to regulatory requirements and firm policies throughout the onboarding process.
• Assist with custodial relationship setup, account transfers (ACATs), and asset movement coordination.
• Maintain accurate onboarding records and update workflow management systems.
• Provide training and resources to advisors on processes, platforms, and tools as needed.

Qualifications

• Bachelors degree in Business, Finance, or related field preferred.
• 2+ years of experience in financial services, preferably within a broker-dealer, RIA, or custodian.
• FINRA licenses such as Series 7 preferred.
• Knowledge of account opening procedures, ACATs, and custodial platforms.
• Strong understanding of industry regulations and compliance standards.
• Excellent organizational skills with the ability to manage multiple priorities.
• Strong interpersonal and communication skills, with a client-first mindset.
• Detail-oriented with strong problem-solving skills.
• Proficiency in Microsoft Office Suite; experience with custodial and CRM platforms preferred.

Seniority level

• Associate

Employment type

• Full-time

Job function

• Administrative and Finance

Industries

• Banking, Investment Banking, and Financial Services

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