Job Description
We are seeking a mid-level Administrative Professional to join our Operations and Advisor Support team. This role is ideal for an experienced operations professional in the Registered Investment Advisor (RIA) space who is detail-oriented, client-focused, and technologically adept.
The individual will manage account administration, advisor transitions, client onboarding, reporting, and compliance support across multiple custodians and platforms. This is a dynamic role that requires balancing client-facing service with advisor operational support. The ideal candidate is detail-oriented, proactive, and able to handle complex tasks independently while collaborating closely with advisors, clients, custodians, and internal staff.
Advisor Support:
- Serve as the primary operational support contact for advisors, assisting with daily account activity, trading coordination, and client inquiries.
- Provide advisors with accurate performance and custodial reporting.
- Train and guide advisors on effective use of Black Diamond tools and workflows.
- Anticipate advisor needs and help streamline processes across custodians and internal systems.
- Coordinate mass account transitions, client notifications, and repapering efforts.
Client Onboarding
- Oversee the end-to-end onboarding process, including paperwork, funding, and compliance reviews.
- Prepare and distribute regulatory documents (ADV, privacy policy, IPS).
- Conduct KYC/AML and suitability reviews per SEC and custodian standards.
Client Service & Support
- Provide high-touch client support, including distributions, journals, RMDs, wires, and service requests.
- Assist clients with portal access and troubleshoot custodial platform issues.
- Track and resolve service requests in Black Diamond CRM, maintaining detailed records.
- Monitor custodial alerts and proactively resolve issues.
Account Administration
- Initiate and manage new account openings across Schwab, Fidelity, and Interactive Brokers.
- Ensure accuracy of client paperwork, DocuSign envelopes, and custodial requirements.
- Track and resolve NIGOs (not in good order items), transfers, and funding status.
- Maintain accurate account data in Black Diamond CRM, ensuring clean integrations with reporting modules.
Compliance & Documentation
- Maintain records and logs required for SEC and custodian audits.
- Archive agreements, authorizations, and service documentation per SEC Rule 204-2.
- Track risk tolerance updates, client consent, and suitability in Black Diamond.
- Support marketing, billing, and performance review processes for compliance.
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
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Skills and Requirements
- 3-5+ years of experience in RIA, asset management, or brokerage operations
- Strong knowledge of custodial processes (Schwab, Fidelity, Interactive Brokers)
- Hands-on experience with Black Diamond CRM and Performance Reporting (or similar platforms)
- Familiarity with compliance requirements under the SEC
- Advanced organizational skills with strong attention to detail
- Excellent client service and communication skills
- Ability to balance multiple requests and prioritize effectively
- Proactive, adaptable, and eager to improve processes