Advisor Transition Support Associate

Transitions Associate (Series 7 Preferred) – Broker-Dealer Operations Key Responsibilities

Advisor Transition & Onboarding

• 🔹Coordinate 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 & Operations

• 🔹Coordinate 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 Coordination

• 🔹Partner 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 Service

• 🔹Build 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 Support

• 🔹Maintain 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.