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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in managing transition plans for Financial Professionals, ensuring effective communication and support throughout the onboarding process. Proficient in building relationships across departments and managing multiple projects in a fast-paced environment.
Highest-signal resume keywords
Financial Services Industry ExperienceTransition Assistance ExperienceStrong Written And Oral Communication SkillsMS Office ProficiencyIndustry Licenses (SIE, Series 6, 7, 65, 66, 24/26)
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Transition PlanningAsset Transfer MonitoringNIGO ResolutionProject ManagementClient ServiceRelationship ManagementDetail OrientationOrganizational SkillsPrioritization SkillsAdaptability
Soft Skills
Effective CommunicationInterpersonal SkillsConfidence BuildingProblem SolvingTeam Collaboration
Certifications & Qualifications
SIE LicenseSeries 6 LicenseSeries 7 LicenseSeries 65 LicenseSeries 66 LicenseSeries 24 LicenseSeries 26 License
Industry Keywords
Broker-DealerWealth ManagementSecurities IndustryRetirement Plan IndustryHigh-Volume Setting
About the role
Key responsibilities & impact- Prepare and execute transition plans for new Financial Professionals
- Manage regular touchpoints with transitioning Financial Professionals to instill confidence in the onboarding process and ensure excellent communication
- Closely monitor asset transfers by providing hands-on support and monitoring/resolving NIGOs
- Advocate for transitioning Financial Professionals with other organizational areas to push for resolution, escalate issues, and ensure responsiveness
- Manage cross-organizational projects
- Build effective business relationships with internal departments, Financial Professionals, and external service providers
- Provide guidance and training throughout the transition process to ensure a seamless onboarding experience
- Communicate regularly regarding the status of current transitions
- Expedite the transfer of Financial Professionals’ books of business
Requirements
What you’ll need- Bachelor’s Degree preferred; H.S. Diploma or GED certificate + Significant Practical Experience will be considered
- 1+ years of Financial Services Industry experience, preferably in broker-dealer or wealth management space
- Knowledge of the securities industry and retirement plan industry
- Ability to work well cross-departmentally to ensure client expectations are met
- Experience and comfort with a high-volume setting with competing demands, multiple priorities, and fast-paced environment
- Strong written and oral communication skills
- Detail oriented
- Ability to organize, prioritize and re-prioritize, adapt in a changing environment, and handle multiple projects simultaneously
- Must be proficient in MS Office applications
- Industry Licenses such as SIE, series 6, 7, 65, 66, or 24/26 licenses preferred
- At least two years of experience in a transition assistance or similar role, client service or relationship management role preferred
- Travel up to 25% of the time
Benefits
Comp & perks- Annual bonus
- Health insurance
- Vision insurance
- Dental insurance
- 401k
- Vacation time
- Sick time
- Volunteer days