Head of Transitions

Kestra Financial, Inc.; Tempe (AZ); On-site; USD 180,000 - 240,000; Full time

Job summary

Kestra Financial, Inc. seeks a transformational Head of Transitions to lead a technology-driven advisor transition experience. You will shape strategy, governance, and delivery across Kestra’s entities to optimize asset transfers and client engagement.

You will collaborate with senior leaders to modernize processes, leverage AI, and accelerate smooth transitions for new firms, while maintaining compliance and driving continuous improvement.

Qualifications

• Over 10 years of progressive experience in broker-dealer or RIA operations in a senior leadership role.
• Series 7 and Series 24 licenses required; Series 63/66 preferred.
• Demonstrated success in operational strategy and transformational initiatives in financial services.

Responsibilities

• Develop and lead the advisor transition strategy and multi-year transformation roadmap.
• Coordinate with leaders across Kestra’s subsidiaries to ensure smooth asset transfers and onboarding.
• Partner with Legal, Compliance, Operations, and Technology to meet regulatory and operational standards.
• Drive digitization, automation, and AI enablement to improve delivery speed and cost-to-serve.
• Design reliable training and knowledge transfer for advisors and internal teams.
• Foster a high-performing culture and scalable transition operations across the organization.

Skills

Operational leadership

Transformation management

Financial services knowledge

Broker-dealer/RIA experience

Series 7/24 licenses

Stakeholder management

Tools

Salesforce

Microsoft Office

Job description

Lead with Purpose. Partner with Impact.

Kestra Financial is seeking a transformational Head of Transitions to lead the company’s new advisor transition experience. Ensuring we create a technology-led, modern and simplified experience to drive referrals is our mission. This senior role will be responsible for driving Kestra Financial transitions vision, strategy, governance, and delivery—unlocking value through optimized processes, superior client engagement experience, technology-forward applications, powering scale in delivery, and improved advisor, investor and employee experiences.

This individual will serve as the bridge between business development and our day-to-day operations at Kestra, working closely with all business unit leaders across Kestra’s diverse entities to deliver smooth and face-paced asset transition, while ensuring advisors gain operating proficiency to thrive at Kestra. This role will also work closely with the Head of Client Service, Operations, Wealth Management and Technology as the architect of smooth day-to-day processes and delivery for new firms.

The ideal candidate will combine operational strategy acumen, transformational excellence, and a hands‑on understanding of financial services. Success will be measured by Asset Transition Delivery, Client Transition Experience, and Continuous Improvement driven by digitization, automation and AI implementation.

What You’ll Do:

• Develop and lead the Kestra Financial advisor transition strategy, including transitions managers, asset transfer specialist, technology consulting and technology stack implementation in alignment with Kestra’s strategic goals.
• Define a multi-year roadmap for transformation that enables reliable decision-making, proactive risk management, and process optimization opportunities; while delivering on daily continuous improvement efforts.
• Act as a strategic partner to business unit heads across Kestra’s subsidiaries (Kestra Private Wealth Services, Bluespring Wealth, Kestra Investment Management and Kestra Insurance Partners).
• Proactively identify use cases where processes or services can be monetized or leveraged to create new value streams, enhance advisor offerings, or differentiate Kestra in the marketplace.
• Translate complex business challenges into opportunities by developing a multi-year roadmap that puts Kestra above our competition.
• Partner with Advisor Training team to design and implement reliable, timely, and self‑service training and user guides for advisors and clients that create efficiency and proficiency operating at Kestra.
• Ensure data & performance accuracy, consistency to monitor transfer of accounts and assets.
• Partner with product and platform leaders to infuse operational insights directly into advisor workflows and experiences.
• Leverages client forums, conferences, councils and day‑to‑day engagement to complement a Voice of Client approach to prioritizing multi‑year roadmaps.
• Leads collaboration with advisors/clients and Kestra to manage out‑of‑the‑box or complex situations that arise day‑to‑day to ensure quick thoughtful decision making that doesn’t impede a new firm’s ability to transition to Kestra.
• Partnership with Data and AI leaders to support the deployment of AI/ML models in transitions for use‑cases such as speed to delivery, data accuracy, cost to serve and operational efficiency.
• Modernize staffing forecasts for annual budget planning, day to day staffing, and cost to serve efficiency.
• Lead work redesign initiatives to reimagine how transition services are delivered, leveraging AI, automation, workflow orchestration, self‑service capabilities, and role optimization to improve advisor experience, employee productivity, scalability, and operational performance.
• Establish and lead a Kestra Financial asset transition governance, inclusive of stewardship, continuous improvement and forward planning.
• Ensure compliance with all business & regulatory standards in partnership with Legal, Compliance and Operations teams.
• Collaborate with the EVP/Client Experience Officer, Operating Group leaders, Wealth Management, Technology & Product, Marketing, Communications, Finance, Human Resources, and other key stakeholders to deliver a referrable new advisor transition experience.
• Serve as the connective tissue between enabling functions such as data strategy and engineering execution—product roadmap prioritization, and delivery within the Operating Group.
• Work closely with external technology partners, providers, and implementation vendors to deliver a smooth asset transfer and technology set up of new firms to Kestra.
• Build and lead cross‑functional operations teams spanning:
• Transitions Managers
• Asset Transfers Specialists
• Technology Implementation
• Transition Operations
• Foster a high‑performing, collaborative, and inclusive culture with a focus on transitions & operational literacy, innovation, and continuous improvement.
• Mentor and develop talent while structuring the team to support both enterprise and line‑of‑business needs.
• Champion the recruitment, retention, and development of top talent to support Kestra Financial strategic goals.
• Ensure open and transparent communication with Client Experience Officer and Kestra Financial President, business leaders, and key stakeholders about opportunities, risks, and progress within transitions.

What You Bring:

• 10+ years of progressive experience in broker dealer of RIA operations with at least 5+ years in a senior leadership capacity.
• Demonstrated success driving operational strategy and transformation in a financial services or wealth management context.
• Deep understanding of financial services business models, including broker‑dealer, RIA, M&A, and Advisor Transitions.
• Strong experience in with wealth management platforms (custodial platforms, regulatory platforms and reporting, broker dealer platforms, 3rd party wealth management technology solutions etc…)
• Series 7 and Series 24 licenses required. Series 63 or 66 preferred.
• Experience evaluating risks and making independent decisions and prioritizing communication to executive management.
• Communicate expectations to staff and field in a clear and concise manner.
• Collaborative and relationship oriented, working well in a team environment.
• Strong analytical skills, including the ability to identify problems with solutions.
• Must demonstrate corporate mission statement and advisor first culture.
• Must be proficient with Salesforce, Microsoft Outlook, Word, Excel and PowerPoint