Transitions Director (Remote Opportunity)

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Posted 8 days ago United States Salary undisclosed
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Job Description

Transitions & Onboarding Leadership Opportunity in Financial Services

Transitions Director (Remote Opportunity)


Role Type: Full time


The Transitions Director is responsible for managing all aspects of a Top Producer Advisor's transition to join the broker-dealer. The Transitions Director ensures the quality and timeliness in service delivery for a smooth, efficient transition of business. Additionally, the Transitions Director is responsible for the development and performance management of all direct reports.


  • Responsible for the daily oversight of team personnel and problem resolution of all aspects of transition
  • Prepares and executes Transition Plans for each incoming Top Producer Advisor
  • Manage daily touch points with transitioning advisors to ensure excellent communication occurs
  • Assist Team Members with research on difficult questions or escalated issues
  • Act as an advocate for the transitioning Top Producer Advisor with any other areas across the organization to push for resolution, escalation of issues, and responsiveness to any questions
  • Review and analyze productivity, service levels and processing procedures to ensure company goals, regulatory requirements and service standards are met
  • Collaborate with manager to create and implement processes and procedures to increase efficiency and productivity, and to ensure quality control and the management of risk
  • Continually seek out and implement efficiencies and service/process improvements
  • Actively analyze problems, determine causal factors, and implement corrective actions Exercise strong problem solving and decision-making skills
  • Work closely with the Recruiting team to identify transition candidates, assist with HOVs by presenting the uniqueness of our transition process, and to communicate regularly regarding the status of current transitions
  • Manage cross-organizational projects and demonstrate negotiating skills
  • Must be able to build effective business relationships with internal departments, financial advisors, and external service providers
  • Accountable for team and staff development by providing the tools and training needed to achieve success
  • Provide career planning, goal setting and coaching support to team members
  • Facilitate all aspects of the Performance Management cycle including conducting annual reviews and establishing meaningful and relevant performance objectives
  • Work with Senior Management and offer ideas to improve our product and enhance the client experience
  • Act as technical SME to employees cross-functionally
  • Travel to Top Producer Advisor offices as needed to facilitate a smooth transition by providing assistance with data gathering, forms preparation, training, and general handholding
  • All other duties as assigned

Supervisory Responsibilities:

  • Directly manage employees on the Transition Concierge team
  • Carry out managerial duties in accordance with the organization's policies and applicable laws
  • Hold regular team meetings to share information and provide open forum for team member ideas
  • Works very closely with Human Resources and the Transitions VP on recruiting, counseling of employees, and recommendations for termination of employment
  • Hold regular one-on-one check-ins with direct reports
  • Pair new employees with other members to ensure training is received from different sources
  • Ensure team members are challenged in their jobs
  • Assign skill-set appropriate tasks
  • Encourage team members to develop beyond current job

Education Requirements:

  • Bachelor's Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered

Basic Requirements:

  • 5+ years of financial services experience (in broker-dealer or wealth management space), inclusive of two years as a supervisor/manager and/or training; or equivalent combination of education and experience
  • Experience and comfort with a high-volume operations setting, with competing demands, multiple priorities, and fast-paced environment
  • Action oriented, working leader who works alongside the team to get work done
  • Superior communication and interpersonal skills; self-motivated and a motivator to others
  • Ability to work well cross-departmentally to ensure client expectations are met
  • Knowledge of the securities industry and retirement plan industry
  • Detail oriented
  • Ability to organize, prioritize and re-prioritize, adapt in a changing environment, and handle multiple projects simultaneously

Preferred Requirements:

  • At least two years of experience in a transition assistance role
  • FINRA Series 7 and 24 preferred and strongly encouraged