Transitions Associate - Wealth Management

Transitions Associate (Series 7 Preferred) – Broker-Dealer Operations

Key Responsibilities

Advisor Transition & Onboarding

• Coordinate and manage the end-to-end transition process for newly affiliated financial advisors and their client accounts.
• Serve as the primary point of contact for advisors throughout the onboarding and transition lifecycle.
• Develop transition timelines, monitor project milestones, and ensure all deliverables are completed on schedule.
• Guide advisors through account transfer procedures, paperwork requirements, and operational processes.

Account Transfers & Operations

• Coordinate ACAT and non-ACAT account transfers while monitoring progress and resolving outstanding issues.
• Review account transfer documentation for completeness and regulatory compliance.
• Work closely with custodians, clearing firms, and internal operations teams to facilitate timely asset transfers.
• Assist with new account setup, account maintenance, rep codes, advisor entitlements, and operational onboarding activities.

Cross-Functional Coordination

• Partner with Compliance, Registration, New Accounts, Technology, Operations, and Business Development teams to ensure a smooth advisor experience.
• Coordinate technology onboarding, platform access, and training resources for new advisors and support staff.
• Proactively communicate project status, outstanding items, and transition updates to advisors and leadership.

Relationship Management & Client Service

• Build trusted relationships with financial advisors and their teams by delivering exceptional service throughout the transition process.
• Respond promptly to advisor inquiries while providing proactive communication and guidance.
• Identify opportunities to improve onboarding workflows and enhance the advisor experience.

Operational Support

• Maintain accurate records of transition activities, project milestones, and advisor documentation.
• Prepare reporting related to transition pipelines, onboarding progress, and operational metrics.
• Participate in special projects and continuous process improvement initiatives.

Qualifications

• Bachelor's degree in Business, Finance, or related field preferred
• Minimum of 2 years within a broker-dealer, RIA, custodian, or wealth management operations environment
• Experience supporting advisor onboarding, transitions, account transfers, or brokerage operations
• Strong understanding of ACATS, new account processing, brokerage operations, and advisor onboarding workflows
• Familiarity with FINRA and SEC regulations related to brokerage account transfers and client onboarding
• Excellent organizational and project coordination skills with the ability to manage multiple advisor transitions simultaneously
• Strong communication and relationship management abilities with a client-first mindset
• Ability to work collaboratively across multiple departments and external partners
• Proficiency in Microsoft Office Suite and CRM/workflow management platforms

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