Advisor Transition Specialist
Hilltop Securities Inc. - dallas, TX
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About the Company Hilltop Securities is currently 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 HTSMIN. Additionally, this role may provide field support to our branches as a backup Client Services Associate (CSA) andor work on Transitions or Wealth Management related projects as needed.About the Role 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).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-ProtocolWork 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 neededServe as a liaison between operations and the wealth management recruiting teamsCreate and update transition checklists and transition timelineWork with DocuSign to enhance the electronic signature process for transitionsResponsible for remediation with the representativeoffice for post-transition NIGO paperwork to ensure a successful transition of financial professionalsAssist 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 supervisorsProvide additional Support for Wealth Management Department as needed, including working on firm Projects andor providing support to our branches as a backup Client Services Associate (CSA). Qualifications Highschool diploma or equivalent. Degree preferred.Licensure: SIE and Series 99 or Series 7 preferredExperience in processing new account paperwork and brokerage paperwork requirements is a plusAbility to work overtime and weekend work will be required as needed, often on short noticeSome travel may be requiredAbility to work in a fast-paced environment while maintaining accurate, complete, and high-quality work in a timely mannerStrong relationship building and communication skills, both oral and writtenAbility to effectively handle difficult customer service situationsAbility to prepare and maintain confidential records and reportsAbility to work successfully with other departments and individuals at all levelsSelf-motivated team player and individual contributorExperience with DocuSign or the electronic signature processStrong 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.About Us 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.
Created: 2024-10-10