Head of Transitions

Kestra • Tempe, AZ

4d

About The Position

Kestra Financial is seeking a transformational Head of Transitions to lead the company’s advisor transition experience. The role is responsible for the transitions vision, strategy, governance, and delivery, with a focus on optimized processes, strong client engagement, technology-forward applications, scalable delivery, and improved experiences for advisors, investors, and employees.

The Head of Transitions bridges business development and day-to-day operations, partnering with business unit leaders across Kestra’s entities to deliver smooth asset transitions and help advisors become proficient in operating at Kestra. The role works closely with Client Service, Operations, Wealth Management, Technology, Product, and other functions to shape day-to-day processes and delivery for new firms. Success is measured by asset transition delivery, client transition experience, and continuous improvement through digitization, automation, and AI implementation.

The position leads cross-functional teams covering transitions management, asset transfers, technology implementation, and transition operations. It also develops talent, promotes a collaborative and inclusive culture, and communicates opportunities, risks, and progress to executive and business stakeholders.

Requirements

• 10+ years of progressive experience in broker-dealer or RIA operations, including at least 5+ years 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 approach, with the ability to work well in a team environment.
• Strong analytical skills, including the ability to identify problems and solutions.
• Demonstrated alignment with 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.
• Internal applicants must be in good standing and have at least one year of service with Kestra. They must also have at least one year in their current role unless approved by an EVP.

Responsibilities

• Develop and lead Kestra Financial’s advisor transition strategy, including transitions management, asset transfer specialists, technology consulting, and technology-stack implementation.
• Define and deliver a multi-year transformation roadmap supporting reliable decision-making, proactive risk management, process optimization, and continuous improvement.
• Partner with 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 value streams, enhance advisor offerings, and differentiate Kestra in the marketplace.
• Partner with Advisor Training to develop timely, reliable, self-service training and user guides for advisors and clients.
• Ensure the accuracy and consistency of data and performance monitoring for account and asset transfers.
• Partner with product and platform leaders to incorporate 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 routine and complex transition situations promptly and thoughtfully.
• Partner with Data and AI leaders to support AI/ML use cases in transitions, 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 initiatives using AI, automation, workflow orchestration, self-service capabilities, and role optimization to improve experience, productivity, scalability, and 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.
• 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 enabling functions such as data strategy and engineering execution with product roadmap prioritization and delivery within the Operating Group.
• Work with external technology partners, providers, and implementation vendors to support asset transfers and technology setup for new firms.
• Build and lead cross-functional teams spanning transitions managers, asset transfer specialists, 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 support 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.

Benefits

• Competitive pay and benefits with a large employer.
• 401(k).
• Health insurance.
• Supportive, collaborative work environment committed to professional excellence.
• Training, development, and long-term growth opportunities.
• Tuition reimbursement for qualified expenses.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed