Transitions Processing Specialist

Advisor Group•La Vista, MN

1d•Hybrid

About The Position

The Transition Processing Specialist will be part of a team responsible for the accurate, timely and efficient processing of incoming and outgoing paperwork pertaining to client account opening, account maintenance, rep changes, sponsor company changes and supporting the day-to-day activities associated within Brokerage Operations. This role is also responsible for taking client data provided by transitioning financial professionals, opening accounts and creating paperwork for client signature.

Requirements

2-3 years relatable or transferable work experience; financial services experience preferred
Proficiency at Microsoft Word, Excel, Internet Explorer, Outlook, PowerPoint.
Must become proficient with the following systems: NetX360, Wealthscape, Front-End Imaging (FEI), Salesforce (contact management and imaging workflow systems), eQuipt and other assigned backoffice functions.
Must acquire and retain knowledge of securities industry rules and best practices regarding brokerage account operations and have strong organizational and time management skills.
Excellent communication & organizational skills.
Quick learner with basic technical skills to efficiently navigate through various systems.
STRONG customer focus orientation.
High attention to detail, analytical mindset, and problem-solving skills.
Be able to work independently and maintain elevated levels of quality.
Self-motivated individual capable of meeting departmental expectations and deadlines
Ability to participate and contribute to a team environment.
Ability to work overtime, including weekends, as needed to support heavy work volume when applicable.

Nice To Haves

2+ years' experience in financial services operations or broker-dealer setting.
Bachelor's degree in business, Finance or related field is preferred
CRM experience / Salesforce experience.
Completion of FINRA SIE exam.
FINRA Series 7 license, other FINRA licenses.
Experience with Smartsheets
Experience with Envestnet / Wealth Management Platform

Responsibilities

Reviewing data provided by financial professionals and generating all necessary paperwork to client for signature.
Provide a high level of service and support to independent financial advisors nationwide.
Review, process and follow up on various brokerage and non-brokerage account requests.
Must act as subject matter expert for several different responsibilities within brokerage Operations.
Act as back-up to co-workers by cross-training on all department functions and demonstrate flexibility to respond to influx of workflow.
Interact with clearing firm on routine brokerage account processing requests; provide timely updates and statuses in contact management and workflow systems
Pay close attention to detail, process work accurately and work on repetitive tasks
Answer internal and external phone calls; make outbound phone calls to our advisors.
Update contact management systems with professional grammar and spelling.
Exercise judgment to know when to escalate issues to manager or supervisor.
Flexibility is required to respond to increases in workflow.
All other duties as assigned.