Wealth Management Transition Support Specialist
About The Position
The Opportunity As a Wealth Management Transition Support Specialist, you will work in a fast-paced and collaborative environment focused on transitioning experienced advisors from their prior firms to MassMutual. In this role, you are responsible for providing dedicated onboarding and transition support to firm leadership and qualifying advisors. This support includes monitoring transitioning account submissions, providing dedicated support to experienced recruits and training staff on MML Investors Services (MMLIS) resources and tools. The Team The Wealth Management Transition Support Team provides concierge level support to top level advisors, and recruits that are joining the firm. The team is comprised of skilled individuals with seasoned experience within MMLIS that provide a high level of customer service to their dedicated advisor population. The Impact As a Wealth Management Transition Support Specialist your responsibilities will include, but not be limited to the following: Serve as subject matter expert on broker-dealer policies and procedures for external representatives transitioning to the MassMutual platform. Handle all new account opening for the advisor; process client data into back office systems with a high level of accuracy. Ownership of tracking and monitoring ACAT transfers post new account opening. Routinely identify cases that are not in good order and work with appropriate parties to find resolution timely. Ability to research and resolve transition issues as needed. Solid understanding of broker-dealer operations and account opening procedures for direct, brokerage and advisory products.
Requirements
- High School Diploma
- 2+ years' experience in the financial services industry
- 2+ years' experience in broker-dealer operations
- Due to the nature of this position, as a part of our background check process, candidates must be able to pass a non-registered fingerprint background check to qualify as a fingerprinted person under FINRA
Nice To Haves
- Bachelor's Degree
- Experience managing the transition of an advisor’s book of business between broker-dealers
- Proven ability to build and maintain strong relationships with financial advisors, serving as a trusted partner to support client retention, business growth, and strategic collaboration
- Prior experience in advisor on-boarding and client transition process
- Knowledge and understanding of FINRA / SEC rules and regulations
- Strong organizational savviness and ability to navigate complex situations
- Exceptional customer service skills and ability to deliver high quality results on time
- Expertise in quickly establishing credibility and developing strong working relationships with internal and external constituents
- Excellent data entry skills with a high level of accuracy
- Ability to manage multiple priorities in fast-paced and time sensitive environment and adhere to strict deadlines
- Ability and willingness to work overtime and/or work a flexible shift arrangement as business needs arise
Responsibilities
- Serve as subject matter expert on broker-dealer policies and procedures for external representatives transitioning to the MassMutual platform.
- Handle all new account opening for the advisor; process client data into back office systems with a high level of accuracy.
- Ownership of tracking and monitoring ACAT transfers post new account opening.
- Routinely identify cases that are not in good order and work with appropriate parties to find resolution timely.
- Ability to research and resolve transition issues as needed.
- Solid understanding of broker-dealer operations and account opening procedures for direct, brokerage and advisory products.
Benefits
- Regular meetings with the WM Transition Support Team
- Focused one-on-one meetings with your manager
- Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQIA+, veteran and disability-focused Business Resource Groups
- Access to learning content on Degreed and other informational platforms
- Your ethics and integrity will be valued by a company with a strong and stable ethical business with industry leading pay and benefits
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
High school or GED
Number of Employees
5,001-10,000 employees
