Advisor Transition Specialist

PrimeLending • Dallas, TX

4d

About The Position

HilltopSecurities is looking to hire an Advisor Transitions Specialist. The Advisor Transitions Specialist is responsible for new advisor onboarding, training and coordination to ensure successful financial professional transitions within the Momentum Independent Network (MIN) and Private Client Group (PCG). The position will process a variety of non-routine transactions and handle escalated issues or problems related to transitioning a new Advisor to HTS/MIN.

Requirements

• High school diploma or equivalent and 1-2 years of previous office/administrative experience.
• Ability to work overtime and weekend work will be required as needed
• Ability to work in a fast-paced environment while maintaining accurate, complete, and high-quality work in a timely manner
• Strong relationship building and communication skills, both oral and written
• Ability to effectively handle difficult customer service situations
• Ability to prepare and maintain confidential records and reports
• Ability to work successfully with other departments and individuals at all levels
• Self-motivated team player and individual contributor
• Experience with the electronic signature process and software referred
• Strong PC skills including knowledge of MS Office Products, specifically Word and Excel

Nice To Haves

• Degree preferred.
• Licensure: SIE or Series 99 a plus or willingness to obtain

Responsibilities

• Work closely with Advisory Services Group (ASG) and Insurance team and participate on due diligence calls with the new Advisor.
• Transition work as directed by the Advisor Transition Specialist, Sr; participate on calls to discuss the transition process.
• Assist in managing Salesforce recruiting database by ensuring up-to date data entries, 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 timeline
• Work with DocuSign to enhance the electronic signature process for transitions
• Responsible for remediation with the representative/office for post-transition NIGO paperwork to ensure a successful transition of financial professionals
• Assist in the creation of Monthly Management Reports for Transitions in progress and upcoming transitions (track assets received, accounts opened, ACAT status, etc)
• Regularly provide transition status updates to supervisor
• Provide additional support for Wealth Management Department projects as needed

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: High school or GED