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Advisor Transitions Specialist

3 months ago

Dallas, United States Hilltop Securities Inc Full time

HilltopSecurities is currently looking to hire an Advisor Transitions Specialist. 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. Additionally, this role may provide field support to our branches as a backup Client Services Associate (CSA) and/or work on Transitions or Wealth Management related projects as needed.

Responsibilities:

  • 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
  • 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).

Qualifications:

  • High school diploma or equivalent. Degree preferred.
  • Licensure: SIE and Series 99 or Series 7 required
  • Prior transitions experience
  • Ability to work overtime and weekend work will be required as needed, often on short notice
  • Some travel may be required
  • 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 DocuSign or the electronic signature process
  • Strong PC skills including knowledge of Salesforce, MS Office Products, specifically Word, Excel and TEAMS.

At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and communities. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success.

As a subsidiary of HilltopHoldings, which also encompasses PlainsCapital Bank and PrimeLending, we have the financial strength and stability that has withstood the test of time. Our nationwide presence in 400 locations across 44 states provides our associates with extensive opportunities to grow their careers in a diverse organization that truly values relationship capital above all else.

*For full consideration please apply directly on our website.