Client Services Associate

1 week ago

Los Angeles Metropolitan Area, United States Insight Global Full time $60,000 - $90,000 per year

Insight Global is seeking a Client Support Operations Associate to join a boutique registered investment advisory firm based in Los Angeles, CA. This is a fulltime position with a focus on operations and client servicing responsibilities, supporting both advisors and clients.

This is a fulltime position that will work onsite in a hybrid capacity. Candidates must be open to working in alignment with the open market, typically following a 6am - 3pm PST schedule with some flexibility.

About the Client:

A boutique RIA overseeing $2B in client assets, serving an ultra-high-net-worth client base in a relaxed, family-style environment. Our close-knit team handles high-touch client service and rigorous operations with best-in-class compliance standards. We partner with leading consultants (ACA) for ongoing compliance support and value strong internal implementation of external advice.

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.

Required Qualifications & Skills

  • Experience with a leading RIA or fiduciary environment (securities, banking, or another RIA)
  • 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.

Career Path

Clear opportunity to grow into senior operations or compliance roles (e.g., COO, CCO).

Additional Information

  • Unlimited PTO and a collaborative workplace with a family atmosphere.
  • Office location offers scenic views of Los Angeles.
  • Position starts on-site, with the option to transition to hybrid/remote after interim period.
  • Preference for candidates seeking to move from a large RIA to a more entrepreneurial small firm.

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