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Title

Transition Specialist 

Division Western International Securities  
Position Transition Specialist  
Location Pasadena, CA  
Full-Time/Part-Time Full-Time  
Description

WIS is seeking a Transition Specialist to join our growing team! At WIS, we offer our employees the opportunity to grow personally and professionally, to contribute to the success of a dynamic organization, and to serve others in a manner that exceeds their expectations.

This position is responsible the transition of new representatives to the firm for the first 90 days and presentation of services to potential representatives during the recruiting process. The specialist will act as the liaison between the representative and all internal departments in the firm.

This position is eligible to sit in any of our home office locations including, Syracuse, NY, Houston, TX, San Diego, CA, Pasadena, CA, or remote for the right candidate.

PRINCIPAL DUTIES AND RESPONSIBILITIES:

  • Ensure regulatory compliance while assisting advisors in migrating client accounts to the firm.
  • Execute of transition plan to prepare advisor and back-office team for onboarding and efficient and effective transition of accounts to fidelity, Pershing, Schwab
  • Ensure technology access is appropriate and working on the first day of affiliation
  • Distribute material utilized during the transition process and track progress as milestones are met per a customized transition plan
  • Provide a high level of proactive customer service to the advisor(s), ensuring timely and accurate responses
  • Effective promoting of the benefits of adoption of efficient processing and technology, including DocuSign
  • Liaison on behalf of the advisors with all internal team leads, relieving onboarding advisor of working with multiple parties on any issues
  • Maintain up-to-date familiarity with new technology, changes to regulations and other relevant information and communicate as necessary
  • Provide feedback and aid organization in improving the overall transition experience for each onboarding advisor
  • Ensure comfortable transition with the broke-dealer support teams upon completed of the transition
 
Position Requirements

EDUCATION, SKILLS AND EXPERIENCE:

  • Bachelor’s degree in business, finance or related field, or equivalent combination of education and work experience
  • Previous industry related experience
  • FINRA Series 6 preferred but not required
  • Passion for providing a high level of customer service
  • Robust communication skills and professionalism when dealing with clients, business partners and senior management
  • Strong organization skills and the ability to managed multiple competing priorities
  • Exceptional analytical skills, ability to solve diverse and complex problems with limited precedents or guidelines

Established in 1995, Western International Securities, Inc. is an independent broker-dealer that has helped over 400 financial advisors establish themselves as independents by delivering comprehensive securities and investment advisory services to their clients. Acquired by Atria in 2020, they bring turnkey solutions for helping advisors transition from the wirehouse world into building successful practices of their own. Headquartered in Pasadena, CA, they maintain a network of offices nationwide.

Atria Wealth Solutions, Inc. (Atria) is a wealth management solutions holding company focused on delivering a clear path to the future of financial advice for financial professionals, financial institutions and their clients. Headquartered in New York City, Atria’s broker-dealer subsidiaries empower financial institutions and independent financial professionals with a sophisticated set of tools, services and capabilities that drive growth. Atria’s broker-dealer subsidiaries include CUSO Financial Services, LP, Sorrento Pacific Financial, LLC, Cadaret Grant & Co., Inc., NEXT Financial Group, Inc. and Western International Securities, Inc. Atria’s subsidiaries together support nearly 2,500 financial professionals with more than $75 billion of assets under administration. For more information, please visit www.atriawealth.com.

 

This position is currently accepting applications.

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