Transition Specialist
vor 1 Tag
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Transition SpecialistJob Tracking ID: 85444-362672Summary/Function:The primary focus of the position will be on onboarding and successfully transitioning new Financial Advisor (FA) business to the firm.
The level of support necessary will vary depending on the requirements of the particular assignment.
Other duties include providing branch coverage as needed and basic project coordination duties as assigned.
The position is required to maintain a high degree of confidentiality with respect to client, FA, branch, and company information.
Experience and SkillsQualifications:• Ability to travel to assigned branch locations for consecutive days or weeks, target 25%.• Prior industry experience required with a demonstrated working knowledge of the securities industry, its operations, and products to include stocks, bonds, margin accounts, options, various retirement plans (IRAs, Simple IRAs, Roth's), mutual funds, and annuities.• Successful completion of the FINRA General Securities Representative (Series 7) Exam and Uniform Combined State Law Exam (Series 66) (or Series 63 and 65).• Knowledgeable of general Company business policies and procedures, as well as back-office operations and security industry requirements.• Post-Secondary education preferred.• Proficient technology skills (strong working knowledge of Microsoft Word, Excel, and Outlook).• Strong working knowledge of BETA, TRAX, the Firm's Intranet, Branch Guide to Operations, and Microsoft Dynamics CRM.• Mathematical aptitude with high attention to detail.• Strong verbal and written communications skills.• Good organizational and problem-solving skills.• Ability to manage multiple demands and competing priorities in a deadline-oriented environment.• Ability to maintain a high level of confidentiality.• Follow policies and procedures.
Maintain client confidentiality.• Communicate in a clear and service-oriented manner.
Use appropriate, professional language and grammar to effectively exchange ideas and information.• Ability to proactively work with both external and internal clients.
Relate with others in a professional manner to accomplish work responsibilities and objectives.• Ability to maintain regular, predictable attendance.
Duties:• Work with the Director of Transitions and branch personnel to onboard new FAs.• Provide onsite assistance and direction during FA transitions.• Act as an onsite liaison during a transition, working closely with operations, the Director of Transitions, and management to troubleshoot questions and concerns.• Direct and process necessary mailings for FA transitions.• Provide professional, courteous customer service to ensure client satisfaction.• Review various reports and their use and how to follow up with clients to secure missing paperwork and/or signatures.
Track unfinished items and follow through to completion.• Provide some initial, basic training on various systems to include BETA, TRAX, the Firm's Intranet, Branch Guide to Operations, and Prestige.• Ensure adherence to all Branch, Firm, Transition Department, and Compliance policies, procedures, rules, and regulations.• May provide backup for other support positions in the assigned branch.• May organize complicated project work, follow up on deadlines, manage detailed information and action items on projects as assigned.• Prepare agendas and meeting materials.• Track, document, and share meeting notes in a timely fashion.• Track and document all action items.• May assist in testing new system implementations and processes as assigned.• Perform any other duties as necessary.
What we offer:Competitive salary plus excellent benefits and perks including, but not limited to:• Medical, Dental, and Vision.• Company 401(k) and ESOP contribution.• Generous sick, vacation, and maternity/parental leave.• Paid holidays.• Professional Development Opportunities.• Tuition Reimbursement ($15,000 lifetime cap).• Charitable gift-matching program.• Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.
The potential base pay hiring range for this role is $50,000 - $67,000.
The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate.
This role is eligible to participate in applicable D.A.
Davidson variable compensation programs.
We are an equal opportunity employer and value diversity at our company.
We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
We will ensure that individuals with disabilities are provided reasonable accommodations.
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