Transition Specialist

Integrity•Austin, TX

About The Position

Our Broker Dealer, Brokers Financial, is looking for a Transition Specialist. The Transition Specialist is responsible for establishing a relationship with prospective representatives/advisors and be that go to person for their entire transition. This person would also help train the new representative/advisor on our systems and coordinate with each department for their proper training to create a smooth transition. The Transition Specialist would also be responsible for filing all license and state changes for all reps and the Firm.

Requirements

Ability to demonstrate our Core Values
Excellent oral and written skills
Self-starter
Must be analytical and detail oriented.
Ability to identify, weigh and convey potential risks.
Ability to communicate effectively with all levels of management.
Maintains high standards of confidentiality of all information.
Ability to work independently and in a team environment.
Must possess strong technical knowledge and advanced understanding of SEC, FINRA, MSRB, and state securities regulations.
Associate's degree (A.A.) from a two-year college or university and one - three years related experience and/or training; or equivalent combination of education and experience.
FINRA Series 7 required within first 6 months of employment.
Series 24 within 12 months of employment.

Responsibilities

Become the main point of contact for any new reps/advisors to lead them through the on boarding process.
Coordinate with business partners to ensure the best customer service to the new registered representative and advisors as well as establishing a training schedule for each of these departments to create a smooth and timely transition.
Assist the new reps and advisors with creating the appropriate form packets to move the book of business to Brokers Financial.
Review newly submitted transitioning account packets for accuracy and completeness and forward appropriately for processing.
Assist the transitioning advisor with the change of broker-dealer requests, including maintaining the tracking mechanism and forwarding appropriately for processing.
Create, implement, and maintain a tracking system for all new recruits.
Create, implement, and maintain an onboarding process that provides the new representatives/advisors with the white glove service.
Update and maintain all forms with any required changes.
Ensure new forms are updated for all locations including the website and workflow systems.
Maintain, update and file U-4 and U-5 information, the company’s insurance license for all states and the company’s annual reports for all states.
Ensure timely filings.