Advisor Transition & Onboarding Specialist

Ascendo Resources; Fort Lauderdale (FL); On-site; USD 55,000 - 85,000; Full time

Job summary

Ascendo Resources seeks a Transitions Associate (Series 7 Preferred) to manage end-to-end advisor transitions and onboarding across brokerage operations.

You will coordinate ACATS and non-ACAT transfers, serve as the advisor's primary contact, and ensure regulatory compliance while maintaining thorough transition records. A BA in business/finance and 2+ years in broker-dealer or wealth management operations are preferred.

Qualifications

• Bachelor's degree in Business, Finance, or related field preferred.
• Minimum 2 years within a broker-dealer, RIA, custodian, or wealth management operations environment.
• Experience supporting advisor onboarding, transitions, account transfers, or brokerage operations.
• Strong understanding of ACATS, new account processing, brokerage operations, and advisor onboarding workflows.
• Familiarity with FINRA and SEC regulations related to brokerage account transfers and client onboarding.
• Excellent organizational and project coordination skills with the ability to manage multiple advisor transitions simultaneously.
• Strong communication and relationship management abilities with a client-first mindset.

Responsibilities

• Coordinate and manage the end-to-end transition process for newly affiliated financial advisors and their client accounts.
• Serve as the primary point of contact for advisors throughout the onboarding and transition lifecycle.
• Develop transition timelines, monitor project milestones, and ensure all deliverables are completed on schedule.
• Guide advisors through account transfer procedures, paperwork requirements, and operational processes.
• Coordinate ACAT and non-ACAT account transfers while monitoring progress and resolving outstanding issues.
• Review account transfer documentation for completeness and regulatory compliance.
• Work closely with custodians, clearing firms, and internal operations teams to facilitate timely asset transfers.
• Assist with new account setup, account maintenance, rep codes, advisor entitlements, and operational onboarding activities.
• Partner with Compliance, Registration, New Accounts, Technology, Operations, and Business Development teams to ensure a smooth advisor experience.
• Coordinate technology onboarding, platform access, and training resources for new advisors and support staff.
• Proactively communicate project status, outstanding items, and transition updates to advisors and leadership.
• Build trusted relationships with financial advisors and their teams by delivering exceptional service throughout the transition process.
• Respond promptly to advisor inquiries while providing proactive communication and guidance.
• Identify opportunities to improve onboarding workflows and enhance the advisor experience.
• Maintain accurate records of transition activities, project milestones, and advisor documentation.
• Prepare reporting related to transition pipelines, onboarding progress, and operational metrics.
• Participate in special projects and continuous process improvement initiatives.

Skills

Client onboarding

Project coordination

Relationship management

Multi-department collaboration

Attention to detail

Education

Bachelor's degree in Business/Finance/related field

Tools

Microsoft Office Suite

CRM/workflow platforms

Job description

Ascendo Resources seeks a Transitions Associate (Series 7 Preferred) to manage end-to-end advisor transitions and onboarding across brokerage operations.

You will coordinate ACATS and non-ACAT transfers, serve as the advisor's primary contact, and ensure regulatory compliance while maintaining thorough transition records. A BA in business/finance and 2+ years in broker-dealer or wealth management operations are preferred.