Transition Specialist

    • Job Tracking ID: 85444-333743
    • Job Location: Remote / TBD, USA
    • Job Level: Any
    • Level of Education: Any
    • Job Type: Full-Time/Regular
    • Date Updated: 11/03/2021
    • Years of Experience: Not Applicable
    • Starting Date: ASAP
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Job Description

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.

Summary/Function:
The primary focus of the Transition Specialist position will be to assist with onboarding and successfully transitioning new Financial Professional (FP) business to the firm. The position is required to maintain a high degree of confidentiality with respect to client, FP, Branch and Firm information.

Experience and Skills

Qualifications:
* Prior industry experience required with a demonstrated working knowledge of the securities industry, its operations and products to include stocks, bonds, margin accounts, options, various retirement plans (IRAs, Simple IRAs, Roth IRAs) mutual funds and annuities.
* Knowledgeable of the Firm’s general business policies and procedures, as well as back-office operations and security industry requirements.
* Proficient technology skills (strong working knowledge of Microsoft Word, Excel and Outlook).
* Strong working knowledge of BETA, TRAX, the Firm’s Intranet, Branch Guide to Operations, and Microsoft Dynamics CRM.
* Good organizational, communication, and problem solving skills.
* Ability to manage multiple demands and competing priorities in a deadline-oriented environment.
* Ability to maintain a high level of confidentiality.
* Ability to maintain regular, predictable hours, or agreed upon schedule.

Duties:
* Work with the Transition Team and branch personnel to onboard new FPs.
* Act as liaison during a transition working closely with operations and management to trouble shoot questions and concerns. Provide professional, courteous customer service to ensure client satisfaction.
* Review various reports and their use and how to follow up with clients to secure missing paperwork and/or signatures. Track unfinished items and follow through to completion.
* Ensure adherence to all Branch, Firm and Compliance policies, procedures, rules and regulations.
* Perform any other duties as necessary.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.