Brokerage Associate, Transition Operations

Job Details

Description

Who We Are

In an increasingly complex world where people are starving for someone they can trust, we stand for something simple: always put the client first. We do well by doing good for those we serve. It’s the ultimate measure. We believe in providing value beyond a doubt and in the notion that time will either expose you or promote you, based on your willingness to embrace change.

We serve financial advisors and investors through three entities, each headquartered in Omaha, Nebraska: Carson Wealth, Carson Coaching and Carson Partners. We provide coaching and partnership services to advisor firms – and straightforward financial advice to the investing public. We all share a common mission to be the most trusted in financial advice.

Who We Want

Support joining partner offices through the transition process by assisting with operational tasks, preparing accurate paperwork, and ensuring client accounts are established and maintained correctly. Deliver high-quality service to advisors during onboarding and help customize workflows that meet office needs. Track transition progress and support a streamlined, efficient onboarding experience. Contribute to developing improved processes that enhance accuracy, speed, and advisor satisfaction.

What To Expect

• Transition Coordination & Operational Support: Assist with operational tasks required during partner office transitions. Prepare paperwork to open and maintain client accounts to the specifications requested by advisors. Gather required data and create paperwork packages for transitioning offices. Follow established guidelines to meet goals and deliverables in alignment with management and stakeholder expectations.
• Client, Advisor & Custodian Interaction: Act as a liaison between onboarding offices, the custodian (Cetera), and Carson’s Brokerage Solutions Group to support a smooth transition experience. Conduct phone calls with custodians to research and resolve issues related to client accounts. Support multiple onboarding topics for new partner offices and provide exceptional service in every interaction.
• Training & Systems Support: Coordinate training for new partner offices on internal and external software, tools, and workflows. Create and monitor Salesforce reports to track onboarding progress. Monitor assigned transition office statistics on a daily basis and ensure all operational components remain on track.
• Process Accuracy & Continuous Improvement: Understand custodian product offerings, procedures, and forms to ensure accurate completion of transition requirements. Assist in developing processes and procedures that enhance accuracy, reduce defects, and streamline workflows. Help ensure project expectations are consistently met through collaboration with management and team members.
• Other Duties: Perform additional tasks, duties, and responsibilities as needed or assigned by leadership to support departmental and organizational objectives.
  
  

What You Need

• Bachelor’s degree in business administration, accounting, finance, or related field preferred.
• Minimum of one year of experience in financial services, client onboarding, or brokerage operations preferred.
• Experience with Salesforce, AdviceWorks, DocuSign, and similar advisor office tools preferred.
• Knowledge of brokerage custodians such as Cetera or Pershing preferred.
• FINRA licenses or completion of the Securities Industry Essentials (SIE) Exam preferred.
• Strong attention to detail required.
• Strong planning and organizational skills required.
• Ability to manage multiple projects with precision required.
• Strong written and verbal communication skills required.
• Computer literacy and ability to learn new programs quickly required.
• Desire to provide high-quality service required.
• Genuine interest in the financial services industry required.
  
  

EEO Statement

In exchange for your expertise, we offer a base salary, bonus potential, 401(k) plus matching, health benefits, and a great working environment. This is your chance to play a key role in the continued success of our company. Our culture is fast-paced, collaborative, innovative, and focused on healthy living. Carson strives to promote the health and wellness of its stakeholders by maintaining a tobacco-free workplace.

We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability, protected veteran status, sexual orientation, age or any other characteristic protected by law.

The Total Rewards Expected For This Role Include

• Starting annual base salary between $52,500 - 65,000.
• Variable compensation potential (Bonus and/or commissions)
• Competitive benefits including 401(k) with company contribution, PTO, Parental Leave, Sabbatical Leave, Medical, Dental, Vision, Health Savings Accounts, Flexible Spending Accounts, Life and AD&D Insurance, Short and Long-Term Disability, Work/Life Benefits and Holistic Wellbeing Programs.