Advisor Transition Specialist

About the role

HilltopSecurities is seeking an Advisor Transitions Specialist in Dallas, Texas. The role involves new advisor onboarding, training, and coordination to facilitate successful transitions within the Momentum Independent Network (MIN) and Private Client Group (PCG).

Responsibilities

• Work on new advisor transitions as directed by the Advisor Transition Specialist, SR.
• Participate on due diligence calls to discuss the transition process – Protocol and Non-Protocol
• Work closely with Advisory Services Group (ASG) and Insurance team, participating on due diligence calls with the new Advisor
• Aid in managing Salesforce recruiting database by ensuring data accuracy and running reports as needed
• Serve as a liaison between operations and the wealth management recruiting teams
• Create and update transition checklists and transition timelines
• Prepare and send customer account paperwork on behalf of the new Advisor
• Work with DocuSign to enhance the electronic signature process for transitions
• Remediate post-transition NIGO paperwork with the representative/office to ensure a successful transition
• Create and update Monthly Management Reports for transitions in progress and upcoming transitions (track assets received, accounts opened, ACAT status, etc)
• Provide regular transition status updates to supervisors
• Support the Wealth Management Department as needed, including working on firm projects and providing support to branches as a backup Client Services Associate (CSA)

Qualifications

• High school diploma or equivalent with 1-2 years of previous office/administrative experience. A degree is preferred.
• Licensure: SIE or Series 99 a plus or willingness to obtain
• Ability to work overtime and weekends as needed
• Strong relationship building and communication skills, both oral and written
• Ability to handle difficult customer service situations
• Effective preparation and maintenance of confidential records and reports
• Successful teamwork and individual contributor experience
• Experience with the electronic signature process and software
• Strong PC skills including knowledge of MS Office Products, specifically Word and Excel

About Us

At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses, and communities. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success. As a subsidiary of HilltopHoldings, which also encompasses PlainsCapital Bank, and PrimeLending, we have the financial strength and stability that has withstood the test of time. Our nationwide presence in 400 locations across 44 states provides our associates with extensive opportunities to grow their careers in a diverse organization that truly values relationship capital above all else.

About The Team

HilltopSecurities' Wealth Management department values its relationship-based approach to serving clients. Through our Private Client Group, we provide highly customized sound financial planning across a range of investment objectives and products. Our Wealth Management professionals deliver a full suite of services for investors such as helping to build wealth, analyzing financial status and goals, advising on investment strategies, developing new business opportunities, and welcoming new clients. You will also be able to learn and deliver behavioral financial concepts to clients, forge relationships with community and business leaders, and learn from experienced financial professionals about how to fully support the individuals you serve. Our Clearing department supports more than 130 broker-dealers and Registered Investment Advisors who provide institutional and financial services through industry experts. We aim to mitigate risk, realize competitive returns, and meet investing objectives. As one of the nation's largest licensed broker-dealer clearing firms, we are focused on building long-term client relationships based on trust and personal service. As a part of our Wealth Management team, you will also be encouraged to take advantage of our professional development opportunities. This includes FINRA series exam sponsorship, tuition reimbursement, working with a mentor, and support from employees of all levels. Wealth Management at HilltopSecurities will give you the fulfilling experience of building meaningful relationships that allow you to fully serve clients in their best interest.