Senior Transition Manager - Broker Dealer

Job Description

Position Summary:

The Transition Manager is responsible for overseeing the onboarding and transition of financial advisors joining our broker-dealer platform. This role requires strong project management skills, in-depth knowledge of the financial services industry, and the ability to provide a seamless, client-focused transition experience. The Transition Manager acts as the central point of contact for advisors, ensuring all operational, compliance, and technology needs are met during the transition process.

Key Responsibilities:

• Serve as the primary liaison for financial advisors throughout the transition process.
• Develop and manage a detailed transition plan tailored to each advisor’s practice.
• Coordinate with internal teams (operations, compliance, legal, technology, marketing) to ensure all transition activities are executed efficiently.
• Assist advisors with account transfers, licensing, registration, and documentation requirements.
• Provide training and guidance on firm technology platforms, reporting tools, and resources.
• Monitor progress of transitions, identify potential roadblocks, and implement solutions to ensure deadlines are met.
• Maintain strong communication and relationships with advisors to ensure a positive onboarding experience.
• Collaborate with business development and recruiting teams to ensure a smooth handoff post-transition.
• Continuously evaluate and enhance the transition process to improve efficiency and advisor satisfaction.

Qualifications:

• Bachelor’s degree in Business, Finance, or related field (or equivalent experience).
• 5+ years of experience in financial services, preferably within an independent broker-dealer or RIA environment.
• Strong understanding of advisor onboarding, account transfers (ACATs/Non-ACATs), and licensing requirements.
• Exceptional project management and organizational skills.
• Excellent communication and interpersonal abilities.
• Proficiency in CRM and financial advisor technology platforms.
• Ability to manage multiple projects simultaneously in a fast-paced environment.