Advisor Transition Specialist, Sr

PrimeLending•Dallas, TX

About The Position

HilltopSecurities is looking to hire a Senior Advisor Transition Specialist. The Senior Advisor Transitions Specialist is responsible for new advisor onboarding, training coordination and overall transition planning and follow-up to ensure successful financial professional transitions within the Momentum Independent Network (MIN) and Private Client Group (PCG). The position will process a variety of complex non-routine transactions and handle escalated issues or problems referred by Specialist.

Requirements

High school diploma or equivalent. Degree preferred.
Three (3) or more years related experience in the financial services.
Ability to work overtime and weekend work will be required as needed
Ability to work in a fast-paced environment while maintaining accurate, complete, and high-quality work in a timely manner
Strong relationship building and communication skills, both oral and written
Ability to effectively handle difficult customer service situations
Ability to prepare and maintain confidential records and reports
Ability to work successfully with other departments and individuals at all levels
Self-motivated team player and individual contributor
Strong PC skills including knowledge of MS Office Products, specifically Word and Excel

Nice To Haves

Preferred experience in Operations, Account Servicing or Advisor transition
Licensure: Series 99 or 7 a plus or willingness to obtain
Demonstrated understanding of transition procedures, including Broker Protocol and non-Protocol, and disseminate that information in a clear and precise manner to potential advisors as well as the internal transition team a plus

Responsibilities

Lead and manage new advisor transition, including due diligence calls to ensure we can support the Advisor’s practice, discuss transition process – Protocol and Non-Protocol
Work closely with Advisory Services Group (ASG) and Insurance team to coordinate due diligence calls and general transition planning and provide detailed instructions on Transition processes and policies
Assist in managing Salesforce recruiting database by ensuring up-to date data entries, data accuracy and running reports as needed
Serve as a liaison between operations and the wealth management recruiting teams
Lead onboarding team through the onboarding weekend and managing the post-transition follow up (typically 60 – 90 days)
Create and update transition checklists and transition timeline
Work with DocuSign to enhance the electronic signature process for transitions
Responsible for remediation with the representative/office for post-transition NIGO paperwork to ensure a successful transition of financial professionals
Coordinate, Track and Monitor new advisor training for all HTS systems
Create Monthly Management Reports for Transitions in progress and upcoming transitions (track assets received, accounts opened, ACAT status, etc)
Regularly provide transition status updates to management
Review process workflows and identify gaps/procedural changes to enhance process efficiencies
Provide additional Support for Wealth Management Department projects as needed