Transitions Partner, Concierge

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%

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