Job Description
Key Responsibilities
Office & Administrative Operations
Manage daily office operations, workflows, and administrative processes
Serve as the primary point of contact for internal staff, advisors, and external partners
Oversee scheduling, calendar coordination, and internal communications
Maintain office systems, records, and documentation with a high level of accuracy
Support ownership and leadership with administrative and operational needs
FINRA & Regulatory Support
Ensure ongoing compliance with FINRA regulations and firm policies
Maintain and organize compliance files, disclosures, and regulatory documentation
Assist with audits, regulatory requests, and internal reviews
Coordinate licensing, registrations, renewals, and continuing education tracking
Act as a liaison between advisors, compliance vendors, and regulatory bodies as needed
Advisor & Client Support
Provide administrative support to financial advisors, including onboarding and documentation
Assist with account paperwork, client records, and compliance‑related forms
Ensure timely and accurate processing of client and advisor documentation
Uphold confidentiality and data security at all times
Process Improvement & Management
Identify opportunities to improve administrative efficiency and compliance processes
Create and maintain internal procedures and best practices
Support onboarding and training for new administrative staff as the firm grows
Handle special projects and ad‑hoc operational needs as assigned
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 HR@insightglobal.com.To learn more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy: https://insightglobal.com/workforce-privacy-policy/.
Required Skills & Experience
Required Qualifications
Prior experience working in a FINRA‑regulated environment
Strong understanding of brokerage operations and compliance standards
Experience supporting financial advisors or leadership in a financial services setting
High attention to detail and strong organizational skills
Ability to handle sensitive and confidential information with discretion
Proficiency with Microsoft Office (Word, Excel, Outlook); CRM experience preferred
Excellent written and verbal communication skills
Preferred Qualifications
Series licenses (Series 7, 63, or similar) strongly preferred
Experience in a small or family‑owned brokerage or advisory firm
Compliance, operations, or office management background in financial services
Ability to work independently and take ownership of administrative functions
Benefit packages for this role will start on the 1st day of employment and include medical, dental, and vision insurance, as well as HSA, FSA, and DCFSA account options, and 401k retirement account access with employer matching. Employees in this role are also entitled to paid sick leave and/or other paid time off as provided by applicable law.