Wealth Management Transitions Specialist

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

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.