What are the responsibilities and job description for the Transitions Associate position at Candidate Experience site?
What you will do:
- Ensure regulatory compliance while assisting offices in migrating client accounts to the firm
- Execute of transition plan to prepare office for onboarding and efficient and effective transition of accounts
- Ensure technology access is appropriate and working on the first day of affiliation for all members of the office
- Distribute materials utilized during the transition process and track progress as milestones are met per a customized transition plan
- Provide a high-level of proactive customer service to the offices, ensuring timely and accurate responses
- Effective selling of the benefits of adoption of efficient processing and technology
- Liaison on behalf of the office with all internal stakeholders, relieving them of working with multiple parties on issues
- Maintain up-to-date familiarity with new technology, changes to regulations, and other relevant information and communicate to offices as necessary
- Travel to offices for in person account processing assistance and/or training as determined in transition plan
- Provide feedback and aid organization in improving the overall transition experience
- Ensure comfortable transition with the broker-dealer support teams upon completion of the transition
What you need to have:
- 2 years of experience in Financial Services/Brokerage Operations
- 2 years of experience client-facing
Really catch our eye with:
- Expert familiarity with operations topics including ACATs, broker-dealer changes, tape-to-tape transfers, and re-papering requirements
- Strong familiarity with the day to day operations of an office – e.g. ad review requirements, various product lines, servicing clients, and technology
- Able to answer day-to-day questions on these topics independently
- Strong understanding of the Brokerage Operations business and of regulatory requirements
- FINRA Series 99 or 7 & 63
Our top performers share the following traits:
- Treat our advisors like the client
- Flexible to changing environment
- Robust communication skills and professionalism when dealing with clients, business partners, and senior management
- Strong organizational skills and the ability to manage multiple competing priorities
- Positive role model to colleagues; team player mentality
- Exceptional analytical skills, ability to solve diverse and complex problems with limited precedents or guidelines
- Personal integrity, professionalism and strong work ethic
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