Business Transition Specialist

Responsibilities Provide administrative support to qualifying new Private Client Advisor’s (“PCA’s) in their client onboarding efforts Provide operational training & support to new PCA’s as they transition to KIS Provide administrative & operational support to PCA’s as they transition their practice to managed account strategies Centralized book of business management & oversight – transition accounts to appropriate PCA Provide IA support to new PCA in client onboarding efforts Open accounts Prepare & submit ACAT transfers Paperwork completion with the client Client communication Remove all administrative tasks from the PCA to allow focus on client onboarding Support newly onboarded PCA’s (less than 1 year) Assist (as needed) with new hire onboarding Provide Systems Training - NetX,

COB 2.0

, SignIx, Annuity Wizard, Salesforce Assist with KIS forms & required documents Paperwork processing Coordinate efforts for enhanced training with partners: CSG, Compliance, Licensing, Financial Planning, Salesforce, Product Training Support PCAs in managed account strategy conversion Assist with paperwork preparation Centralized BOB movement support Rep of Record changes - Annuity Rep Code Changes Reassignment of accounts Ongoing monitoring of annuity reassignments Managed Money Annual Review Reminders - Download reports from Salesforce of all outstanding Annual Reviews that need to be completed. Requirements Bachelor’s degree preferred; high school diploma required with equivalent work experience considered. 3+ years’ experience in securities supervisory/compliance activity within a brokerage or bank-based brokerage firm. Must have strong organizational, verbal, written communication skills, including the ability to be comfortable working for and receiving instructions from several team members. Strong proficiency in all Microsoft Office suite applications (Excel, Word, Outlook, etc.). Ability to be flexible and work diplomatically in team environment and the ability to quickly assimilate and use other programs, processes, and procedures with minimal to moderate instruction is necessary. Highly organized individual with a penchant for strong judgement, accuracy, the capability to balance multiple priorities and the ability to perform at a high standard in a fast-paced environment. Preferred Licenses: FINRA Series 7 or 6, 63,65 or 66 and applicable state life and health insurance license. Core Competencies Demonstrates strong organizational and communication skills while providing administrative and operational support to Private Client Advisors. Proficient in managing client onboarding processes and utilizing various systems and tools to enhance training and compliance within a fast-paced environment. Tools & Technologies Salesforce NetX COB 2.0 SignIx Annuity Wizard #J-18808-Ljbffr Jobtailor