Financial Advisor Transition Liaison Needed in Carpinteria, CA (In-Office)
Salary Range: $55k-$63k Annually
Works somewhat like a project manager helping/assisting financial advisors transition from another broker/dealer to our broker/dealer. Moving book of business, help them to get registered with us and train on their systems/applications, etc..
Customer Service Skills a must
Project Management helpful
Will be working with Advisors who are moving from another broker/dealer to ours
Communication skills
Relationship Building and follow up skills
Basic to Intermediate Excel skills
On Site Required
Job Summary As part of the Transition Services Team, the Transition Liaison acts as the primary contact for financial advisors joining our company. The Transition Liaison will guide transitioning advisors through a comprehensive transition process and coordinate home office resources, helping to ensure a smooth onboarding process. The position also requires providing initial training and overall guidance to financial advisors during their transitioning period. In addition, the Transition Liaison will be responsible for assisting with all aspects of transitioning new Financial Centers and Strategic Alliance Groups.
Additional License and/or Certification Information FINRA SIE, Series 6 or 7 preferred or willingness to obtain within 12 months from hire
Position Information: This is an on-site position located at our headquarters in Carpinteria, CA
Additional Job Duties
Facilitating the coordination and implementation of transition technology-related items.
Completing additional projects as assigned by management.
Performing department presentations when required.
Maintaining strong relationships with field partners and business units to help ensure high quality of service.
Major Duties and Responsibilities
Providing strategic planning and support to financial advisors as they transition to our company. This includes designing customized Personal Transition Plans (PTP), executing all designated tasks required in the PTP, and initiating and tracking the transition of incoming client assets to our company
Building and maintaining positive relationships with transitioning financial advisors and their direct reports.
Providing guidance and education to each financial advisor as they become acclimated to our company.
Teaming with internal departments and colleagues to help ensure smooth transitions.
Gaining and maintaining in-depth understanding of company technology, products and processes.
All qualified applicants will receive consideration for employment without regard to race, color, national origin, age, ancestry, religion, sex, sexual orientation, gender identity, gender expression, marital status, disability, medical condition, genetic information, pregnancy, or military or veteran status. We consider all qualified applicants, including those with criminal histories, in a manner consistent with state and local laws, including the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance.