Director of Transitions

D.A. Davidson • Seattle, WA

1d • $125,000 - $145,000

About The Position

The Director of Transitions leads the strategy and design of the Financial Advisor transition experience at D.A. Davidson. This role is responsible for building a scalable, compliant, and client-focused transition program that supports experienced advisors joining the firm and ensures a high-quality experience for their clients. This opportunity is ideal for an experienced FA transitions professional who enjoys shaping programs, setting standards, and partnering across the business to deliver consistent, high-trust outcomes. The Director works closely with a dedicated Transition Manager who leads day-to-day execution, staffing, and advisor planning calls.

Requirements

• FINRA Series 7/66 or 63/65 required
• Bachelor’s degree or equivalent combination of education and relevant industry experience.
• Five or more years experience with Financial Advisor transitions within a wealth management, broker-dealer, or RIA environment.
• Strong understanding of transition-related regulatory and supervisory requirements, including FINRA, SEC, Reg BI, DOL, and client privacy considerations.
• Proven ability to design and manage programs, policies, and standards rather than day-to-day transaction processing.
• Demonstrated success partnering across departments and influencing outcomes without direct authority.
• Executive-level communication skills and comfort interacting with senior leadership and experienced advisors.
• Demonstrated ability to establish credibility and trust with Financial Advisors, branch leaders, and internal partners through sound judgment, clarity, and discretion.
• Strong professional presence and relationship-building capability, particularly in high-stakes, time-sensitive, or emotionally charged transition environments.
• Ability to navigate sensitive conversations with confidence, empathy, and firmness when advisor, client, or firm interests are at risk.
• Calm and steady decision-making style; able to provide reassurance, structure, and direction during periods of uncertainty or change.
• High degree of integrity, emotional intelligence, and professional maturity, especially when serving as an escalation point on matters impacting advisor practices, client relationships, or firm reputation.
• Highly organized, strategic thinker with attention to detail and a strong bias toward protecting the advisor and client experience.
• Ability to travel as needed (approximately 10–15%).

Nice To Haves

• Series 9/10 preferred.

Responsibilities

• Set the strategic direction for the firm’s advisor transition program, aligning transition practices with business objectives and advisor experience standards.
• Establish and maintain standardized transition policies, procedures, and frameworks that promote consistency and regulatory compliance.
• Partner with Compliance, Legal, Supervision, Operations, Technology, Recruiting, and Advisor Solutions to translate requirements into practical transition standards.
• Serve as a senior subject-matter expert for advisor transitions, providing guidance on complex books of business, unique business models, and high-visibility transitions.
• Design and evolve the transition operating model, tools, disclosures, and documentation to support scale and continuous improvement.
• Identify and implement opportunities to enhance the advisor and client experience through process improvement and thoughtful use of technology.
• Act as a strategic advisor to the Transition Manager, offering direction, mentorship, and escalation support when needed.

Benefits

• 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)
• Discounted personal insurance including home, auto and recreational vehicles
• Charitable gift-matching program
• Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Education Level: Associate degree