Transitions Consultant

Advisor Group•Scottsdale, AZ

13d•$60,000 - $70,000•Remote

About The Position

We are looking for driven and motivated individuals to join our Transitions Team. The Transition Consultant is responsible for managing all aspects of a new Financial Professional’s transition to Osaic. This person will work closely with the Business Development team and other key areas to build strong relationships with new Financial Professionals, present the value proposition of our transition process, and communicate regularly regarding the status of current transitions. This person needs to have a thorough understanding of the transition process and provide the appropriate guidance and training along the way to ensure a seamless onboarding experience for the Financial Professionals. The primary objective is to expedite the transfer of the Financial Professional’s book of business. In addition to having some transition experience, it’s critical to be a subject matter expert on asset movement, demonstrate a high level of technical knowledge, be detailed oriented, and have exceptional communication skills. We are looking for self-starters who are quick learners, resourceful, and results oriented in a faced-paced and collaborative environment. The person must have the ability to organize, prioritize, and handle multiple projects simultaneously.

Requirements

1 + years of Financial Services Industry experience preferably in broker-dealer or wealth management space
Knowledge of the securities industry and retirement plan industry.
Ability to work well cross-departmentally to ensure client expectations are met.
Experience and comfort with a high-volume setting with competing demands, multiple priorities, and fast-paced environment.
Strong written and oral communication skills
Detail oriented.
Ability to organize, prioritize and re-prioritize, adapt in a changing environment, and handle multiple projects simultaneously.
Must be proficient in MS Office applications.
Must obtain the Securities Industry Essentials (SIE) and either the Series 7 or Series 99 license within 12 months of employment if not already obtained at the time of hire.
Bachelor’s Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered.

Nice To Haves

Industry Licenses such as SIE, series 6, 7, 65, 66, or 24/26 licenses
At least two years of experience in a transition assistance or similar role client service or relationship management role

Responsibilities

Prepares and executes transition plans for new Financial Professionals
Manages regular touchpoints with transitioning Financial Professional to instill confidence in the onboarding process and ensure excellent communication occurs.
Closely monitors the asset transfers for the financial professionals by providing hands-on support and monitoring/resolving any NIGOs.
Acts as an advocate for the transitioning Financial Professionals with any other areas across the organization to push for resolution, escalation of issues, and responsiveness to any questions.
Manages cross-organizational projects.
Must be able to build effective business relationships with internal departments, financial professionals and external service providers.