Brokerage Consultant, Transition Operations

About the Company

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.

About the Role

Lead brokerage transition execution for partner offices to ensure accurate account setup, seamless onboarding, and exceptional advisor and client support. Serve as the primary brokerage operations subject-matter expert, resolve issues quickly, and coordinate with custodians and internal teams to drive high-quality, compliant outcomes. Deliver training on platforms and best practices, monitor progress and metrics, and champion continuous improvement to elevate speed, accuracy, and client experience.

Responsibilities

• Transition Operations & Brokerage Expertise: Coordinate end-to-end brokerage onboarding activities. Prepare, review, and process account documentation with accuracy and timeliness. Resolve not-in-good-order items to minimize delays and risk.
• Client & Advisor Support: Act as the primary liaison for onboarding offices, advisors, and custodial partners to ensure a smooth transition experience. Explain brokerage offerings, product details, and account structures to broaden client relationships.
• Training & Enablement: Deliver training and education on custodial and brokerage platforms, e-signature and CRM tools, and account management best practices. Create reference materials and job aids to promote consistency.
• Issue Resolution & Compliance: Research and resolve account-related issues by coordinating with custodians and internal stakeholders. Uphold firm policies and industry regulations in all activities. Escalate risks promptly and document resolutions.
• Cross-Functional Coordination: Partner with operations, service, data, and technology teams to synchronize timelines, dependencies, and cutovers. Communicate status and needs clearly to keep transitions on track.
• Reporting & KPIs: Track and monitor transition milestones in the CRM. Maintain daily statistics and provide status updates to leadership. Contribute to KPI design to measure transition efficiency and service delivery.
• Process Improvement & Documentation: Recommend and implement improvements to workflows, systems, and procedures to enhance accuracy, efficiency, and compliance. Support CRM and platform enhancements through user feedback and testing.
• Mentorship & Team Support: Share subject-matter expertise, mentor teammates, and delegate tasks where appropriate to build capability and coverage across the team.
• Other Duties: Perform additional tasks, duties, and responsibilities as needed or assigned by leadership to support departmental and organizational objectives.

Qualifications

• Bachelor’s degree in business, finance, or related field preferred.
• Active FINRA licenses (Series 7 and 63/65 or 66) required.
• Minimum of two years of financial services experience with exposure to brokerage and/or advisor support required.
• Experience in transition operations, client onboarding, or brokerage operations preferred.

Required Skills

• Strong knowledge of brokerage operations, financial products, and custodial processes required.
• Proficiency with CRM, e-signature, and productivity tools (for example, client account platforms, DocuSign, CRM, and spreadsheets) required.
• Excellent written and verbal communication skills with a client-first mindset required.
• Strong attention to detail with organizational and time management skills required.
• Ability to manage multiple priorities in a fast-paced environment and collaborate across teams required.

Preferred Skills

• Experience in transition operations, client onboarding, or brokerage operations preferred.

Pay range and compensation package

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.

The total rewards expected for this role include:

• Starting annual base salary between $60,000 - $76,850.
• 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.

Equal Opportunity Statement

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.

This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

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