Transition Processing Specialist

Summary:

The Transition Processing Specialist will be part of a team responsible for the accurate, timely and efficient processing of incoming and outgoing paperwork pertaining to client account opening, account maintenance, rep changes, sponsor company changes and supporting the day-to-day activities associated within Brokerage Operations. This role is also responsible for taking client data provided by transitioning financial professionals, opening accounts and creating paperwork for client signature.

Responsibilities:

• Reviewing data provided by financial professionals and generating all necessary paperwork to client for signature.

• Provide a high level of service and support to independent financial advisors nationwide.

• Review, process and follow up on various brokerage and non-brokerage account requests.

• Must act as subject matter expert for several different responsibilities within brokerage Operations.

• Act as back-up to co-workers by cross-training on all department functions and demonstrate flexibility to respond to influx of workflow.

• Interact with clearing firm on routine brokerage account processing requests; provide timely updates and statuses in contact management and workflow systems

• Pay close attention to detail, process work accurately and work on repetitive tasks

• Answer internal and external phone calls; make outbound phone calls to our advisors.

• Update contact management systems with professional grammar and spelling.

• Exercise judgment to know when to escalate issues to manager or supervisor.

• Flexibility is required to respond to increases in workflow.

• All other duties as assigned.

Education Requirements:

• High School Diploma or GED required

• Bachelor's Degree in Business, Finance or related field is preferred

Basic Requirements:

• 2-3 years relatable or transferable work experience; financial services experience preferred

• Must be proficient in the following Microsoft programs: Excel, Word, Outlook, Edge, Teams

• Must become proficient with the following systems: NetX360, Wealthscape, Front-End Imaging (FEI), Salesforce (contact management and imaging workflow systems), eQuipt and other assigned back-office functions.

• Must acquire and retain knowledge of securities industry rules and best practices regarding brokerage account operations and have strong organizational and time management skills.

• Must be team-oriented and client-focused.

• Ability to work overtime, including weekends, as needed to support heavy work volume when applicable.

Preferred Requirements:

• 2+ years' experience in financial services operations or broker-dealer setting.

• Completion of the FINRA SIE exam

• FINRA Series 7

• Experience with Smartsheets

• Experience with Envestnet / Wealth Management Platform