Financial Advisor Transition Liaison at Roth Staffing Companies in Carpinteria, California

Job Description:

Financial Advisor Transition Liaison Needed in Carpinteria, CA (In-Office)


Salary Range: $55k-$63k


Works somewhat like a project manager helping/assisting financial advisors transition from another broker/dealer to our broker/dealer. Moving book of business, help them to get registered with us and train on their systems/applications, etc..


Customer Service Skills a must
Project Management helpful
Will be working with Advisors who are moving from another broker/dealer to ours
Communication skills
Relationship Building and follow up skills
Basic to Intermediate Excel skills
On Site Required



Job SummaryAs part of the Transition Services Team, the Transition Liaison acts as the primary contact for financial advisors joining our company. The Transition Liaison will guide transitioning advisors through a comprehensive transition process and coordinate home office resources, helping to ensure a smooth onboarding process. The position also requires providing initial training and overall guidance to financial advisors during their transitioning period. In addition, the Transition Liaison will be responsible for assisting with all aspects of transitioning new Financial Centers and Strategic Alliance Groups.



Qualification Standards

Education, Licenses, Work Experience, Etc.

• College degree preferred

• 2+ years of financial services industry experience preferred or equivalent combination of education

Additional License and/or Certification InformationFINRA SIE, Series 6 or 7 preferred or willingness to obtain within 12 months from hire


Additional Job Duties

• Facilitating the coordination and implementation of transition technology-related items.

• Completing additional projects as assigned by management.

• Performing department presentations when required.

• Maintaining strong relationships with field partners and business units to help ensure high quality of service.

Major Duties and Responsibilities

• Providing strategic planning and support to financial advisors as they transition to our company. This includes designing customized Personal Transition Plans (PTP), executing all designated tasks required in the PTP, and initiating and tracking the transition of incoming client assets to our company

• Building and maintaining positive relationships with transitioning financial advisors and their direct reports.

• Providing guidance and education to each financial advisor as they become acclimated to our company.

• Teaming with internal departments and colleagues to help ensure smooth transitions.

• Gaining and maintaining in-depth understanding of company technology, products and processes.

All qualified applicants will receive consideration for employment without regard to race, color, national origin, age, ancestry, religion, sex, sexual orientation, gender identity, gender expression, marital status, disability, medical condition, genetic information, pregnancy, or military or veteran status. We consider all qualified applicants, including those with criminal histories, in a manner consistent with state and local laws, including the California Fair Chance Act, City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, and Los Angeles County Fair Chance Ordinance. For unincorporated Los Angeles county, to the extent our customers require a background check for certain positions, the Company faces a significant risk to its business operations and business reputation unless a review of criminal history is conducted for those specific job positions.

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