Advisor Services Assoc - Onboarding (Bloomington, MN or San Diego, CA)

Job Description

Job Description

Position Title: Advisor Services Associate - Onboarding

Reports to: Vice President

Department: Simplicity Wealth - Advisor Services Group

Location: San Diego, CA OR Bloomington, MN; In-office

Classification: Full-time, exempt

 

Summary / Job Objective: The Advisor Services Associate – Onboarding is a specialized role within the Simplicity Wealth Advisor Services Team. This individual serves as the primary point of contact for new advisory firms, guiding them through the critical phase of transitioning their book of business. You will be responsible for the seamless migration of Assets Under Management (AUM), ensuring a high-touch, "white-glove" onboarding experience for both advisors and their clients. This position may require 5% travel to assist with Advisor Onboardings.

 

Primary Responsibilities:

· AUM Transition Management: Lead the end-to-end execution of asset transitions, including the preparation and processing of ACATS, non-protocol moves, and manual asset transfers.

· Concierge Onboarding: Act as the primary project manager for newly affiliated advisors, guiding them through firm registration, system setup, and initial account funding.

· Complex Account Opening: Manage high-volume account opening cycles, ensuring accuracy in custodial paperwork (Schwab, Fidelity, etc.) to minimize NIGO (Not In Good Order) rates.

· Custodial Liaison: Serve as the expert interface between advisors and custodians to resolve complex transfer-of-asset (TOA) issues and expedite money movement.

· Strategic Training: Conduct deep-dive training sessions for new advisory teams on proprietary technology, portfolio management tools, and Simplicity Wealth’s operational workflows.

· Process Optimization: Continuously refine the "onboarding playbook" to reduce the time-to-revenue for new advisors and improve the client transition experience.

 

Qualifications:

· Education: Bachelor’s degree or equivalent professional experience.

· Industry Experience: 2+ years within an RIA, TAMP, or financial services environment, specifically focused on operations or advisor transitions.

· Custodial Mastery: 2+ years of hands-on experience with major custodial platforms (Schwab/TD Ameritrade, Pershing, or Fidelity).

· Specialized Knowledge: Deep understanding of the ACATS process, cost-basis transfer, and the regulatory nuances of transitioning client assets.

· Technical Skill: Mastery of Wealth Management platforms/CRMs (Orion, Salesforce, Redtail) and digital signature workflows (DocuSign).

 

Core Competencies:

· Transition Precision: A meticulous eye for detail; you understand that a single error in a transition can delay a firm’s entire launch.

· Project Leadership: Ability to manage multiple firm onboardings simultaneously while meeting strict deadlines.

· High-Stakes Communication: Professional poise and clarity when communicating with high-net-worth advisors during the stressful "move" period.

· Problem Solver: A "figure-it-out" mentality when faced with rejected transfers or complex asset classes.

 

Compensation & Benefits: Compensation will be based on experience.

· Salary Range: $56,000 to $75,000

· Annual Performance Bonus Target: 10%

· Employee benefits (medical, dental, vision, life insurance, other)

· 401k with employer match

· Paid Time Off

· Paid parking

 

Location : 11512 El Camino Real, San Diego, CA 92130; or 3600 American Boulevard West, Bloomington, MN 55431; this is an in-office position

Company Description

Headquartered in Summit, New Jersey, Simplicity Financial Marketing Group Holdings (“Simplicity Group”) is a financial holding company in the independent financial services sector that specializes in the distribution of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker-Dealer, partners with insurance and investment professionals to help provide consumers with guaranteed income and life insurance products, wealth accumulation strategies, disability, and long-term care protection in support of a holistic financial strategy.

Through its vast distribution network of insurance, wealth, and institutional channels, Simplicity Group has assisted with the placement of more than $10 billion of insurance assets and has $10 billion of assets under management and advisement as of Q4 2024. Simplicity Group is a fast-growing business, focused on organic growth initiatives to help its distribution partners expand their businesses. Simplicity Group has over 1,200 employees and 90 operating subsidiaries. Simplicity Group is owned by two of the leading San Francisco-based financial and tech-enabled services private equity firms and by its operating Partners, who help drive the company’s day-to-day business.

For more information, please visit simplicitygroup.com.

Company Description

Headquartered in Summit, New Jersey, Simplicity Financial Marketing Group Holdings (“Simplicity Group”) is a financial holding company in the independent financial services sector that specializes in the distribution of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker-Dealer, partners with insurance and investment professionals to help provide consumers with guaranteed income and life insurance products, wealth accumulation strategies, disability, and long-term care protection in support of a holistic financial strategy.\r\n\r\nThrough its vast distribution network of insurance, wealth, and institutional channels, Simplicity Group has assisted with the placement of more than $10 billion of insurance assets and has $10 billion of assets under management and advisement as of Q4 2024. Simplicity Group is a fast-growing business, focused on organic growth initiatives to help its distribution partners expand their businesses. Simplicity Group has over 1,200 employees and 90 operating subsidiaries. Simplicity Group is owned by two of the leading San Francisco-based financial and tech-enabled services private equity firms and by its operating Partners, who help drive the company’s day-to-day business.\r\n\r\nFor more information, please visit simplicitygroup.com.