Transitions Associate - Wealth Management

Ascendo Resources; Fort Lauderdale (FL); On-site; USD 60,000 - 80,000; Full time

Job summary

Ascendo Resources seeks a Transitions Associate (Series 7 Preferred) to manage end-to-end advisor transitions and client account moves. You will serve as the main contact for advisors, crafting timelines, tracking milestones, and ensuring timely completion of onboarding tasks.

The role requires coordinating ACAT and non-ACAT transfers, reviewing transfer docs for regulatory compliance, and collaborating with custodians and internal teams to enable smooth asset transfers.

Qualifications

• Bachelor's degree in Business, Finance, or related field preferred.
• Experience coordinating advisor onboarding, transitions, or brokerage operations is desirable.
• Familiarity with ACATS and brokerage transfers is a plus.

Responsibilities

• Coordinate end-to-end advisor transitions and client account movements.
• Serve as primary contact for advisors throughout onboarding and transition lifecycle.
• Develop timelines, monitor milestones, and ensure on-time deliverables.
• Guide paperwork, transfer procedures, and operational onboarding activities.
• Prepare transition performance reports and maintain records.

Skills

Organizational skills

Project coordination

Communication

Relationship management

Cross-functional collaboration

MS Office

CRM/workflow platforms

Education

Bachelor's degree in Business/Finance or related field

Tools

Microsoft Office Suite

CRM systems

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