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Advisor Transition Specialist

HilltopSecurities -
Dallas, TX

Job Details

Full-time

Qualifications

Customer communication
Employee relationship building
Administrative experience
High school diploma or GED
Office experience

Full Job Description

HilltopSecurities is looking to hire an Advisor Transitions Specialist in Dallas, Texas. 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.

High school diploma or equivalent and 1-2 years of previous office/administrative experience. Degree preferred.
Licensure: SIE or Series 99 a plus or willingness to obtain
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

Essential Functions
Work on new advisor transition as directed by the Advisor Transition Specialist, SR., participate on due diligence calls to discuss the transition process – Protocol and Non-Protocol
Work closely with Advisory Services Group (ASG) and Insurance team and participate on due diligence calls with the new Advisor.
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
Prepare and send customer account paperwork on behalf of the new Advisor
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 your supervisors
Provide additional Support for Wealth Management Department as needed, including working on firm Projects and/or providing support to our branches as a backup Client Services Associate (CSA).

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