Prepares and executes transition plans for new Financial Professionals
Manages regular touchpoints with transitioning Financial Professional to instill confidence in the onboarding process and ensure excellent communication occurs.
Closely monitors the asset transfers for the financial professionals by providing hands-on support and monitoring/resolving any NIGOs.
Acts as an advocate for the transitioning Financial Professionals with any other areas across the organization to push for resolution, escalation of issues, and responsiveness to any questions.
Manages cross-organizational projects.
Must be able to build effective business relationships with internal departments, financial professionals and external service providers.

1 + years of Financial Services Industry experience preferably in broker-dealer or wealth management space
Knowledge of the securities industry and retirement plan industry.
Ability to work well cross-departmentally to ensure client expectations are met.
Experience and comfort with a high-volume setting with competing demands, multiple priorities, and fast-paced environment.
Strong written and oral communication skills
Detail oriented.
Ability to organize, prioritize and re-prioritize, adapt in a changing environment, and handle multiple projects simultaneously.
Must be proficient in MS Office applications.
Must obtain the Securities Industry Essentials (SIE) and either the Series 7 or Series 99 license within 12 months of employment if not already obtained at the time of hire.
At least two years of experience in a transition assistance or similar role client service or relationship management role

Transitions Consultant

Key skills