Head of Transitions

Kestra Financial•Tempe, AZ

About The Position

Kestra Financial is seeking a transformational Head of Transitions to lead its advisor transition experience. The role is responsible for the company’s transitions vision, strategy, governance, and delivery, with the goal of creating a technology-led, modern, simplified experience that supports referrals. The position bridges business development and day-to-day operations, working with business unit leaders across Kestra’s entities to deliver smooth asset transitions and help advisors become proficient in operating at Kestra. Working closely with leaders in Client Service, Operations, Wealth Management, and Technology, the Head of Transitions will shape processes and delivery for new firms. The role combines operational strategy, transformation, and financial services expertise. Success is measured through asset transition delivery, client transition experience, and continuous improvement driven by digitization, automation, and AI implementation. The role leads transition strategy and teams, establishes a multi-year transformation roadmap, and partners across business units to improve processes, advisor offerings, and competitive differentiation. It also oversees training and self-service materials, transition data and performance accuracy, client and advisor engagement, staffing and cost-to-serve planning, governance, regulatory compliance, technology implementations, and work redesign using AI, automation, workflow orchestration, and self-service capabilities. The Head of Transitions builds and develops cross-functional teams and keeps executive and business stakeholders informed about progress, opportunities, and risks.

Requirements

10+ years of progressive experience in broker-dealer or RIA operations.
At least 5 years of experience in a senior leadership capacity.
Demonstrated success driving operational strategy and transformation in financial services or wealth management.
Deep understanding of financial services business models, including broker-dealer, RIA, M&A, and advisor transitions.
Strong experience with wealth management platforms, including custodial, regulatory and reporting, broker-dealer, and third-party wealth management technology platforms.
Series 7 and Series 24 licenses required.
Experience evaluating risks, making independent decisions, and prioritizing communication to executive management.
Ability to communicate expectations clearly and concisely to staff and the field.
Collaborative and relationship-oriented, with the ability to work well in a team environment.
Strong analytical skills, including the ability to identify problems and solutions.
Ability to demonstrate the corporate mission statement and advisor-first culture.
Proficiency with Salesforce, Microsoft Outlook, Word, Excel, and PowerPoint.

Nice To Haves

Series 63 or Series 66 license.

Responsibilities

Develop and lead Kestra Financial’s advisor transition strategy, including transitions managers, asset transfer specialists, technology consulting, and technology stack implementation.
Define a multi-year transformation roadmap that supports reliable decision-making, proactive risk management, process optimization, and continuous improvement.
Act as a strategic partner to business unit heads across Kestra subsidiaries, including Kestra Private Wealth Services, Bluespring Wealth, Kestra Investment Management, and Kestra Insurance Partners.
Identify opportunities to monetize or leverage processes and services, create new value streams, enhance advisor offerings, and differentiate Kestra in the marketplace.
Partner with the Advisor Training team to create timely, reliable, and self-service training and user guides for advisors and clients.
Ensure data and performance accuracy and consistency when monitoring the transfer of accounts and assets.
Partner with product and platform leaders to integrate operational insights into advisor workflows and experiences.
Use client forums, conferences, councils, and day-to-day engagement to inform roadmap priorities through a Voice of Client approach.
Collaborate with advisors, clients, and Kestra teams to resolve complex or unusual transition situations through timely, thoughtful decisions.
Partner with Data and AI leaders to support deployment of AI/ML models for transition use cases, including delivery speed, data accuracy, cost to serve, and operational efficiency.
Modernize staffing forecasts for annual budgeting, day-to-day staffing, and cost-to-serve efficiency.
Lead work redesign that uses AI, automation, workflow orchestration, self-service, and role optimization to improve advisor experience, employee productivity, scalability, and operational performance.
Establish and lead asset transition governance, including stewardship, continuous improvement, and forward planning.
Ensure compliance with business and regulatory standards in partnership with Legal, Compliance, and Operations teams.
Collaborate with the EVP/Client Experience Officer, Operating Group leaders, Wealth Management, Technology and Product, Marketing, Communications, Finance, Human Resources, and other stakeholders to deliver a referrable new-advisor transition experience.
Connect data strategy and engineering execution, product roadmap prioritization, and delivery within the Operating Group.
Work with external technology partners, providers, and implementation vendors to deliver asset transfers and technology setup for new firms.
Build and lead cross-functional operations teams spanning transitions management, asset transfers, technology implementation, and transition operations.
Foster a high-performing, collaborative, and inclusive culture focused on transitions and operational literacy, innovation, and continuous improvement.
Mentor and develop talent and structure the team to serve enterprise and line-of-business needs.
Recruit, retain, and develop talent in support of Kestra Financial’s strategic goals.
Maintain open and transparent communication with the Client Experience Officer, Kestra Financial President, business leaders, and key stakeholders about transition opportunities, risks, and progress.