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Financial Advisor Transition Specialist

1 month ago

Dallas, Texas, United States Hilltop Holdings Full time
About the Role

Hilltop Securities is seeking a skilled Financial Advisor Transition Specialist to join our Wealth Management team. As a key member of our team, you will be responsible for ensuring a seamless transition of financial professionals to our network.

Key Responsibilities
  • Work closely with Advisory Services Group and Insurance team to facilitate new advisor onboarding and training.
  • Manage Salesforce recruiting database to ensure accurate and up-to-date data entries.
  • Serve as a liaison between operations and wealth management recruiting teams.
  • Develop and maintain transition checklists and timelines.
  • Enhance the electronic signature process for transitions using DocuSign.
  • Remediate post-transition NIGO paperwork to ensure successful transitions.
  • Provide regular transition status updates to supervisors.
  • Support wealth management department as needed, including working on firm projects and providing backup support to branches.
Requirements
  • High school diploma or equivalent; degree preferred.
  • Licensure: SIE and Series 99 or Series 7 preferred.
  • Experience in processing new account paperwork and brokerage paperwork requirements is a plus.
  • Ability to work overtime and weekend work as needed.
  • Some travel may be required.
  • Strong relationship building and communication skills.
  • 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 electronic signature process.
  • Strong PC skills, including knowledge of Salesforce, MS Office Products, and TEAMS.
About Us

Hilltop Securities is a subsidiary of Hilltop Holdings, a financial services company with a nationwide presence. We value relationship capital and provide a broad range of investment banking and related financial services to our clients.

About the Team

Our Wealth Management department takes a relationship-based approach to serving clients, providing highly customized financial planning and investment services. We aim to build long-term client relationships based on trust and personal service.