Advisor Transition Support Associate

Transitions Associate (Series 7 Preferred) – Broker-Dealer OperationsKey ResponsibilitiesAdvisor Transition & OnboardingCoordinate and manage the end-to-end transition process for newly affiliated financial advisors and their client accounts.Serve as the primary point of contact for advisors throughout the onboarding and transition lifecycle.Develop transition timelines, monitor project milestones, and ensure all deliverables are completed on schedule.Guide advisors through account transfer procedures, paperwork requirements, and operational processes.Account Transfers & OperationsCoordinate ACAT and non-ACAT account transfers while monitoring progress and resolving outstanding issues.Review account transfer documentation for completeness and regulatory compliance.Work closely with custodians, clearing firms, and internal operations teams to facilitate timely asset transfers.Assist with new account setup, account maintenance, rep codes, advisor entitlements, and operational onboarding activities.Cross-Functional CoordinationPartner with Compliance, Registration, New Accounts, Technology, Operations, and Business Development teams to ensure a smooth advisor experience.Coordinate technology onboarding, platform access, and training resources for new advisors and support staff.Proactively communicate project status, outstanding items, and transition updates to advisors and leadership.Relationship Management & Client ServiceBuild trusted relationships with financial advisors and their teams by delivering exceptional service throughout the transition process.Respond promptly to advisor inquiries while providing proactive communication and guidance.Identify opportunities to improve onboarding workflows and enhance the advisor experience.Operational SupportMaintain accurate records of transition activities, project milestones, and advisor documentation.Prepare reporting related to transition pipelines, onboarding progress, and operational metrics.Participate in special projects and continuous process improvement initiatives. xzbcwsv

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QualificationsBachelor's degree in Business, Finance, or related field preferredMinimum of 2 years within a broker-dealer, RIA, custodian, or wealth management operations environmentExperience supporting advisor onboarding, transitions, account transfers, or brokerage operationsStrong understanding of ACATS, new account processing, brokerage operations, and advisor onboarding workflowsFamiliarity with FINRA and SEC regulations related to brokerage account transfers and client onboardingExcellent organizational and project coordination skills with the ability to manage multiple advisor transitions simultaneouslyStrong communication and relationship management abilities with a client-first mindsetAbility to work collaboratively across multiple departments and external partnersProficiency in Microsoft Office Suite and CRM/workflow management platforms
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