Financial Professional Onboarding Specialist

1 day ago

Dallas, Texas, United States Hilltop Securities Inc. Full time

About the Company

Hilltop Securities Inc. is a leading financial services company that provides a range of investment banking and related financial services to individuals, businesses, and communities. Our company is built on the principles of building noble and collaborative relationships that enrich the financial future of our clients.

About the Role

We are seeking a highly skilled and detail-oriented Financial Professional Onboarding Specialist to join our team. The successful candidate will be responsible for coordinating the onboarding process for new financial professionals, ensuring a seamless transition into our organization. This role will involve working closely with our Advisory Services Group and Insurance team to ensure that all necessary steps are taken to facilitate a successful transition.

Key Responsibilities

  • Coordinate the onboarding process for new financial professionals, including scheduling due diligence calls and ensuring all necessary paperwork is completed.
  • Work closely with our Advisory Services Group and Insurance team to ensure a smooth transition for new advisors.
  • Manage the Salesforce recruiting database, ensuring accurate and up-to-date data entries and running reports as needed.
  • Serve as a liaison between operations and the wealth management recruiting teams.
  • Develop and maintain transition checklists and timelines to ensure a successful transition of financial professionals.
  • Collaborate with the DocuSign team to enhance the electronic signature process for transitions.
  • Remediate with representatives/offices for post-transition NIGO paperwork to ensure a successful transition of financial professionals.
  • Assist in creating monthly management reports for transitions in progress and upcoming transitions.
  • Provide regular transition status updates to supervisors.
  • Offer additional support to the Wealth Management Department as needed, including working on firm projects and providing support to branches as a backup Client Services Associate (CSA).

Qualifications

  • 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 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.

Equal Opportunity Statement

The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties, and skills required and may be changed at the discretion of the Company.

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