Transitions Partner

Cetera Financial Group; Dallas (TX); On-site; USD 85,000 - 115,000; Full time

Benefits offered by this job

Health insurance

Paid time off (PTO)

401(k)

Parental leave

EAP

Life Insurance

Job summary

Cetera Financial Group is seeking an Onboarding and Transitions professional to drive efficient account migrations and serve as the primary onsite liaison for financial professionals and their teams. The role emphasizes proactive service, training coordination, and cross-team collaboration to accelerate asset movement.

Travel to client offices up to 80-90% is required, with a focus on compliance, accuracy, and delivering a white-glove onboarding experience to accelerate transitions and adoption

Qualifications

• Bachelor's degree in finance or a related field.
• Minimum of 5 years in Financial Services.
• Project management experience.
• Strong communication with clients, partners and leadership.
• Excellent organizational skills with multiple priorities.

Responsibilities

• Travel to offices for in-person account processing assistance and training.
• Provide proactive, timely, accurate service to offices.
• Be the single onsite contact between the office and the wider organization.
• Liaise with internal stakeholders to streamline issue resolution.
• Identify and deploy training resources for ongoing office self-sufficiency.
• Support smooth transitions with broker-dealer teams on completion.
• Execute transition plans for efficient account migrations.
• Promote benefits of efficient processing and technology adoption.
• Stay updated on new tech and regulatory changes; inform offices.
• Provide feedback to improve onboarding and transition experiences.
• Ensure regulatory compliance during migrations.
• Ensure technology access is ready on first day for all office members.
• Distribute transition materials and track milestone progress.

Skills

Bachelor’s Degree

5+ years Financial Services Experience

Project Management

Communication skills

Organizational skills

Education

Bachelor's degree in finance or related field

Job description

Job Description

Cetera desires to deliver an enhanced, elite level of service that accelerates the onboarding of Financial Professionals, their teams and client assets – while upholding strict regulatory compliance and preserving our signature white-glove, high-touch experience. The Concierge Team enhances Cetera’s best-in-class onboarding and transition experience. The responsibilities of the Onboarding and Transitions Partners will be augmented by the Concierge team to improve the experience, move assets quicker and lead to higher referability through: Proactive Problem Resolution, Training Coordination and Relationship Management

Core Responsibilities

• Travel to offices for in person account processing assistance and/or training as determined in transition plan.
• Provide a high-level of proactive customer service to the offices, ensuring timely and accurate responses.
• Working directly onsite with clients, acting as the single point of contact between the entire financial professional team and the wider organization, identifying and resolving roadblocks in real time to accelerate asset movement.
• Liaison on behalf of the office with all internal stakeholders, relieving them of working with multiple parties on issues.
• In partnership with the Onboarding and Transition Partners, Training, IT, and Regional Growth teams, Concierge identifies and deploys the right training resource for every member of the office — ensuring lasting self-sufficiency, not just day-one readiness.
• Ensure comfortable transition with the broker-dealer support teams upon completion of the transition.
• Execute of transition plan for the efficient and effective transition of accounts.
• Effective selling of the benefits of adoption of efficient processing and technology.
• Maintain up-to-date familiarity with new technology, changes to regulations, and other relevant information and communicate to offices as necessary.
• Provide feedback and aid organization in improving the overall onboarding and transition experience.
• Ensure regulatory compliance while assisting offices in migrating to the firm.
• Ensure technology access is appropriate and working on the first day of affiliation for all members of the office.
• Distribute materials utilized during the transition process and track progress as milestones are met by a customized transition plan.

Required Knowledge, Skills, And Abilities

• Bachelor’s Degree
• 5+ years of Financial Services Experience, preferably with Broker Dealer exposure.
• Project Management Experience
• Robust communication skills and professionalism when dealing with clients, business partners, and senior management
• Strong organizational skills and the ability to manage multiple competing priorities

Desired Knowledge, Skills, And Abilities

• Strong understanding of the Onboarding and Transitions business and of regulatory requirements.
• FINRA Series 99 or 7 & 63.
• Self-starter who can work with minimal directions.
• Passion for providing world class customer service experience to clients.
• Positive role model to colleagues; team player mentality.
• Exceptional analytical skills, ability to solve diverse and complex problems with limited precedents or guidelines.
• Personal integrity, professionalism and strong work ethic.

Minimum Required Education & Experience

• Bachelor's degree in finance or a related field or equivalent.
• Minimum of 5 years of experience in Financial Services.

Travel Requirements:

Up to 80-90%

About Us

Not many teams can say that they support people’s dreams coming to life. We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

What We Give You In Return

• Inclusive health, dental, vision, and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and fostering.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
• Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
• Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind

About Cetera

Cetera Financial Group ® (Cetera) is a leading network of independent retail broker-dealers and registered investment advisers empowering the delivery of objective financial advice to individuals, families, and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation and a leading provider of retail services to the investment programs of banks and credit unions. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology. Cetera Financial Group (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. is an SEC registered investment adviser within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All the referenced entities are under common ownership.

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.

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