Onboarding & Compliance Operations Specialist

Hub International; Northbrook (IL); On-site; USD 49,000 - 57,000; Full time

Benefits offered by this job

Medical coverage

Dental coverage

Vision coverage

401(k) plan

Life and disability plans

Flexible work arrangements

Job summary

HUB International in Northbrook, IL is seeking an Operations Associate to join our RPW team. You will review new client account documentation for completeness, act as an authorized approver for onboarding, and ensure compliance with firm and regulatory standards.

You will collaborate with advisors and client service staff to resolve deficiencies, maintain accurate records, and support ongoing onboarding workflow improvements.

Qualifications

• 2+ years of experience in RIA or financial services operations.
• Series 65 or Series 66 license strongly preferred.
• Familiarity with investment advisory agreements, custodial account documentation, and suitability requirements.
• High attention to detail with ability to manage volume while maintaining accuracy.
• Strong communication skills for cross-functional coordination with advisors and compliance.

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.

Skills

RIA operations

Financial services operations

Attention to detail

Cross-functional communication

Tools

Orion

Dispatch

Microsoft Dynamics CRM

Job description

HUB International in Northbrook, IL is seeking an Operations Associate to join our RPW team. You will review new client account documentation for completeness, act as an authorized approver for onboarding, and ensure compliance with firm and regulatory standards.

You will collaborate with advisors and client service staff to resolve deficiencies, maintain accurate records, and support ongoing onboarding workflow improvements.