Transition Specialist

About the role

The Transition Specialist at Brokers Financial is responsible for establishing a relationship with prospective representatives/advisors and being the go-to person for their entire transition. This individual will help train the new representative/advisor on the firm's systems and coordinate with various departments for proper training.

Responsibilities

• Become the main point of contact for any new reps/advisors to lead them through the onboarding process.
• Cook up a training schedule for each department to ensure a smooth and timely transition.
• Aid the new reps and advisors in creating the necessary form packets to transfer the book of business to Brokers Financial.
• Review newly submitted transitioning account packets for accuracy and completeness before forwarding them for processing.
• Aid the transitioning advisor with the change of broker-dealer requests, including maintaining the tracking mechanism and forwarding appropriately for processing.
• Create, implement, and maintain a tracking system for all new recruits.
• Create, implement, and maintain an onboarding process that provides the new representatives/advisors with the white glove service.
• Update and maintain all forms with any required changes.
• Maintain, update, and file U-4 and U-5 information, the company’s insurance license for all states, and the company’s annual reports for all states, ensuring timely filings.

Requirements

• Strong technical knowledge and advanced understanding of SEC, FINRA, MSRB, and state securities regulations.
• A minimum of an Associate's degree from a two-year college or university, with one to three years of related experience, or an equivalent combination of education and experience.
• FINRA Series 7 required within six months of employment, and Series 24 within twelve months of employment.

Qualifications

• Ability to demonstrate Integrity's Core Values.
• Excellent oral and written communication skills.
• Self-starter with an analytical and detail-oriented mindset.
• Ability to identify, weigh, and convey potential risks.
• Ability to communicate effectively with all levels of management.
• Maintains high standards of confidentiality of all information.
• Ability to work independently and in a team environment.

Skills

• Ability to identify, weigh, and convey potential risks.
• Ability to communicate effectively with all levels of management.
• Maintains high standards of confidentiality of all information.
• Ability to work independently and in a team environment.

Benefits

• Medical/Dental/Vision Insurance
• 401(k) Retirement Plan
• Paid Holidays
• PTO
• Community Service PTO
• FSA/HSAs
• Life Insurance
• Short-Term and Long-Term Disability