Transitions Associate - Wealth Management

Ascendo Resources; Fort Lauderdale (FL); On-site; USD 65,000 - 85,000; Full time

Job summary

Ascendo Resources seeks aTransitions Associate (Series 7 Preferred) to support broker-dealer operations in Fort Lauderdale. You will coordinate advisor transitions, manage ACAT and non-ACAT transfers, and liaise with custodians and internal teams to ensure timely asset movements.

The role emphasizes onboarding workflows, regulatory awareness (FINRA/SEC), and strong client-facing coordination across multiple departments to optimize the advisor experience.

Qualifications

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

Responsibilities

• Coordinate and manage end-to-end transition process for newly affiliated financial advisors and client accounts.
• Serve as primary contact for advisors throughout onboarding and transition lifecycle.
• Develop transition timelines, monitor milestones, and ensure deliverables on schedule.
• Guide advisors through transfer procedures, paperwork, and onboarding operations.
• Coordinate transfers, review documentation for compliance, and work with custodians and internal teams.
• Prepare reporting on transition pipelines, onboarding progress, and metrics.

Skills

ACATS knowledge

onboarding processes

brokerage operations

project coordination

client communication

cross-functional collaboration

Education

Bachelor's degree in Business/Finance

Tools

CRM platforms

Microsoft Office

Job description

Transitions Associate (Series 7 Preferred) – Broker-Dealer Operations

Key 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.

Account Transfers & Operations

• 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.

Cross-Functional Coordination

• 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.

Relationship Management & Client Service

• 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.

Operational Support

• 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.

Qualifications

• Bachelor's degree in Business, Finance, or related field preferred
• Minimum of 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
• Ability to work collaboratively across multiple departments and external partners
• Proficiency in Microsoft Office Suite and CRM/workflow management platforms