Sr. Onboarding Operations Specialist

Kestra Private Wealth Services • Austin, TX

272d

About The Position

Come join the dynamic team at Kestra Financial! Kestra Financial provides a leading independent advisor platform that empowers sophisticated, independent financial professionals, including traditional and hybrid RIAs, to prosper, grow, and provide superior client service. With a culture rich in reinvention and advisor advocacy, Kestra Financial has developed integrated business management technology that, combined with its personalized consulting services, offers exceptional scale and efficiency. Kestra Financial supports independent financial advisors in delivering comprehensive securities and investment advisory services to their clients. The Sr. Onboarding Operations Specialist reports to the Onboarding Supervisor. You will establish several account and product types, focusing on non-advisory and advisory brokerage accounts. You will travel on-site to provide high levels of service to our onboarding firms while working to maintain our client accounts and provide onsite training for operational responsibilities.

Requirements

• High School graduate or equivalent
• 2+ years of financial services industry experience
• Ability to sit at a computer for long periods of time in an office environment well lit
• Ability to lift up to 20 pounds

Nice To Haves

• College degree in related field useful
• Knowledge of Word, Excel (can maintain complex spreadsheets), Outlook, and PowerPoint
• Customer Service skills
• Prioritization skills

Responsibilities

• Process New Accounts, including Transfers, direct rollovers, PIPs, SWPs, and special account features for transitioning firms
• Enter new account data into AdvisorComplete℠ for our onboarding firms
• Review for completeness of new accounts entered in AdvisorComplete by the field
• Answer advisor and staff questions regarding paperwork requirements and the status of new accounts and transfers by inbound calls and emails
• Initiate transfers and direct rollovers
• Provide on-site operational support to onboarding advisors
• Forward transfer paperwork to the appropriate recipient (NFS, Cashiering or Trading)
• Work with Sales Supervision to resolve paperwork issues
• Conduct on-site operations training for assigned firms
• Remove or update special account features (check writing, margin, periodic IRA distributions)
• Establish Systematic Withdrawal Plans (SWP)
• Establish Periodic Investment Plans for transitioning firms (PIP)
• Process name changes & SSN corrections
• Update address and suitability information, when needed, on client accounts in AdvisorComplete and FBSI
• Organize client files in LaserFiche so that we have complete client records
• Educate representatives and their assistants on how to use AdvisorComplete
• Support our department efforts 24-hour processing standards
• Other responsibilities and projects as assigned by manager
• Will be asked to travel 65% of the time
• May be asked to work overtime because of heavier volumes (especially in December, March and April)

Benefits

• Full health, vision, dental
• 401(k) plans
• Voluntary plans such as car insurance, legal services and more (applicable to full-time, permanent employees)

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: High school or GED