Senior Advisor Transitions Specialist
Overview
If you are looking to build your career with a firm that puts the client first by providing 360° advice designed to last, then Ashton Thomas Private Wealth (ATPW) is the right firm for you. We actively nurture the next generation of professionals, give back to the community and focus on building a diverse culture where everyone genuinely loves where they work and has the support needed to meet their career goals.
Description
The Senior Advisor Transitions Specialist will work closely with the Director of Operations to build strong relationships with current and prospective ATPW financial advisors and be responsible for delivering extraordinary advisor/client service, care and leadership.
Part of the role of the associate is to oversee the new advisor transition and assimilation process which includes designing and executing the new advisor’s transition, collaborating with a number of different departments across the firm and ensuring that new advisors know how to utilize our tools and technology that is applicable to their business model. The goals are to deliver a high-quality client experience, expedite the transition of the advisor’s clients and accounts, and help the advisor set up their practice for success at ATPW. Lastly, the associate will be responsible for the ideation and execution of initiatives to help evolve the overall onboarding, transition, and assimilation process.
In addition to managing the client experience, the associate must be able to engage in strategic and operational discussions with advisors, other team members, and the ATPW executive team. The ideal candidate will be solution orientated and able to deal with difficult situations as well as conduct difficult conversations.
If you love building relationships, connecting with clients, managing a diversity of tasks, being a leader amongst peers, have a strong attention to detail and want to be an important part of a growing team then this opportunity is for you. The successful associate will be professional, caring and genuinely demonstrate the highest level of service to our advisors and clients

Duties and responsibilities:

• Partner with the Business Development team to understand the prospect’s needs and design and execute the transition and assimilation
• Serve as the Project Manager during the onboarding event and assume responsibility for all troubleshooting and action items
• Provide hands on support to the advisors to help them transition their clients and accounts quickly and seamlessly
• Manage the relationship and experience of new financial advisors and firms during their transition and assimilation into ATPW
• Execute multiple client engagements simultaneously
• Identify opportunities and create solutions to expedite and improve the transition and assimilation process
• Track the progress of asset acquisition, client documentation, and adjust strategies as needed throughout the transition
• Understand, utilize, and stay current with our technology, industry best practices, financial markets, the regulatory environment, and the competitive landscape
• Own the end to end onboarding of financial advisor and clients, including operational aspects of transition
• Monitors daily custodial alerts including cash management, account updates, trading, etc. and resolves accordingly
• Records client inquires including service changes, new account opening, money movement, trading, etc. in CRM
• Prepares custodian paperwork, facilitate account updates and communicates with clients on status
• Meets regularly with Director of Operations to prioritize team workload, provides timely updates on client service items and escalates potential issues when appropriate
• Assists with preparation of meeting presentation materials, documents meeting follow-up and takes ownership of specific operational related tasks
• Participate in team meetings and collaborate with operations team on projects and/or initiatives designed to streamline firm policies and procedures
• Other duties, as assigned

Qualifications

• High school diploma required; bachelor’s degree preferred
• Minimum of 5 years of experience in financial services preferably in advisor transition, client service and relationship management
• Proven experience managing projects and resources
• Strong written and oral communications skills as well as time management and organizational skills
• Strong PC proficiency with MS Office Suite, CRM (Salesforce, Redtail, etc.)
• Experience with Financial Planning software
• Positive attitude toward client relations to provide exceptional, proactive client service
• Must be able to prioritize tasks, adjust, and work well under pressure
• Project management, Series 7 and 66 license, compliance and relationship management experience is a plus
• 35% travel anticipated
• Demonstrates ability and success with problem solving; able to resolve issues without direct supervision
• Highly organized with strong analytical skills
• Able to work in a team environment

We are one team on one mission. To enrich our employees, clients and advisors’ lives.
We welcome your interest in being a part of the Ashton Thomas Private Wealth team. We offer associates an innovative and challenging place to work with camaraderie and teamwork. We are a growth-oriented, entrepreneurial culture that respects people and values talent, experience, and ambition.
Job Type: Full-time
Pay: $80,000.00 - $95,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Work Location: In perso

• Partner with the Business Development team to understand the prospect’s needs and design and execute the transition and assimilation
• Serve as the Project Manager during the onboarding event and assume responsibility for all troubleshooting and action items
• Provide hands on support to the advisors to help them transition their clients and accounts quickly and seamlessly
• Manage the relationship and experience of new financial advisors and firms during their transition and assimilation into ATPW
• Execute multiple client engagements simultaneously
• Identify opportunities and create solutions to expedite and improve the transition and assimilation process
• Track the progress of asset acquisition, client documentation, and adjust strategies as needed throughout the transition
• Understand, utilize, and stay current with our technology, industry best practices, financial markets, the regulatory environment, and the competitive landscape
• Own the end to end onboarding of financial advisor and clients, including operational aspects of transition
• Monitors daily custodial alerts including cash management, account updates, trading, etc. and resolves accordingly
• Records client inquires including service changes, new account opening, money movement, trading, etc. in CRM
• Prepares custodian paperwork, facilitate account updates and communicates with clients on status
• Meets regularly with Director of Operations to prioritize team workload, provides timely updates on client service items and escalates potential issues when appropriate
• Assists with preparation of meeting presentation materials, documents meeting follow-up and takes ownership of specific operational related tasks
• Participate in team meetings and collaborate with operations team on projects and/or initiatives designed to streamline firm policies and procedures
• Other duties, as assigne