Transition Specialist

The Transition Specialist is responsible for managing the end-to-end transition of new and existing investment accounts, ensuring accurate, timely, and compliant movement of assets. This role serves as a key liaison between advisors, clients, custodians, and internal partners to deliver a seamless onboarding and account transfer experience while maintaining high service standards.Key ResponsibilitiesCoordinate and execute transitions of investment accounts, including ACAT and non-ACAT transfers, rollovers, and internal account movesServe as the primary point of contact for advisors and clients during the transition processReview and validate account documentation for accuracy, completeness, and regulatory complianceTrack and manage transition timelines, resolve issues, and proactively communicate status updatesLiaise with custodians, broker-dealers, and third-party providers to facilitate asset movementIdentify and resolve transfer discrepancies, rejections, or delays and manage corrective actionMaintain detailed records and update CRM, portfolio management, and custodial systemsEnsure adherence to firm policies, SEC/FINRA regulations, and custodian requirementsPartner with compliance, operations, and client service teams to streamline transition workflowsContribute to continuous improvement initiatives and documentation of best practicesOther operational responsibility when there are no transitions in process, you will help support the advisors in the firms with operational functions at the managers discretionRequired QualificationsBachelor's degree or equivalent professional experience2+ years of experience in investment operations, account transitions, or client service within financial servicesWorking knowledge of investment products (mutual funds, ETFs, annuities, equities, fixed income, advisory, brokerage and alternatives)Familiarity with ACAT processes and custodial platforms (e.g., Schwab, Fidelity, Pershing, TD)Strong attention to detail and organizational skillsExcellent written and verbal communication skillsAbility to manage multiple transitions simultaneously in a deadline-driven environmentPreferred QualificationsExperience supporting RIAs, wealth management firms, or broker-dealersPreferred securities licenses (Series 7, 63, or 66) or willingness to obtainExperience with CRM and portfolio management systems (e.g., Salesforce, Redtail, Advisor360)Project management or process improvement experienceCore CompetenciesClient-centric mindsetProblem solving and issue resolutionCollaboration across cross-functional teamsProcess documentation and improvementConfidentiality and data integrityWhy This Role MattersThe Transition Specialist plays a critical role in the client experience by ensuring that asset transfers are smooth, transparent, and stress-free. This position directly impacts client satisfaction, advisor productivity, and overall operational efficiency.Benefits:401(k)Dental insuranceHealth insuranceLife insurancePaid time offVision insurance

Created: 2026-05-09