Business Transition Specialist

Role Overview

• Provide administrative support to qualifying new Private Client Advisor’s (“PCA’s) in their client onboarding efforts
• Provide operational training & support to new PCA’s as they transition to KIS
• Provide administrative & operational support to PCA’s as they transition their practice to managed account strategies
• Centralized book of business management & oversight – transition accounts to appropriate PCA
• Provide IA support to new PCA in client onboarding efforts
• Open accounts
• Prepare & submit ACAT transfers
• Paperwork completion with the client
• Client communication
• Remove all administrative tasks from the PCA to allow focus on client onboarding
• Support newly onboarded PCA’s (less than 1 year)
• Assist (as needed) with new hire onboarding
• Provide Systems Training
• NetX, COB 2.0, SignIx, Annuity Wizard, Salesforce
• Assist with KIS forms & required documents
• Paperwork processing
• Coordinate efforts for enhanced training with partners: CSG, Compliance, Licensing, Financial Planning, Salesforce, Product Training
• Support PCAs in managed account strategy conversion
• Assist with paperwork preparation
• Centralized BOB movement support
• Rep of Record changes
• Annuity Rep Code Changes
• Reassignment of accounts
• Ongoing monitoring of annuity reassignments
• Managed Money Annual Review Reminders
• Download reports from Salesforce of all outstanding Annual Reviews that need to be completed.

Requirements

• Bachelor’s degree preferred; high school diploma required with equivalent work experience considered.
• 3+ years’ experience in securities supervisory/compliance activity within a brokerage or bank-based brokerage firm.
• Must have strong organizational, verbal, written communication skills, including the ability to be comfortable working for and receiving instructions from several team members.
• Strong proficiency in all Microsoft Office suite applications (Excel, Word, Outlook, etc.).
• Ability to be flexible and work diplomatically in team environment and the ability to quickly assimilate and use other programs, processes, and procedures with minimal to moderate instruction is necessary.
• Highly organized individual with a penchant for strong judgement, accuracy, the capability to balance multiple priorities and the ability to perform at a high standard in a fast-paced environment.
• Preferred Licenses: FINRA Series 7 or 6, 63,65 or 66 and applicable state life and health insurance license.

Benefits

• Health insurance
• Flexible work arrangements