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Human Resources
DepartmentOperations
ClassificationNon-Exempt, Eligible for Pre-Approved Overtime
LocationOn-Site at our Carpinteria, CA Headquarters
Position TypeFull Time
DescriptionAs the Transition Liaison – Level 1, you will have the important responsibility to act as the primary contact for financial advisors joining PlanMember. You will provide guidance to transitioning advisors through a comprehensive transition process and coordinate home office resources, helping to ensure a smooth onboarding process. Your position also requires providing initial training and overall guidance to financial advisors during their transitioning period. In addition, you will be responsible for assisting with all aspects of transitioning new Financial Centers and Strategic Alliance Groups.
Salary Range:
Starting salary is typically between $54,000 and $63,000 annually, however, it is ultimately determined by the scope of the position, the candidate's relevant experience, credentials/certifications, and internal equity. In addition to salary, benefits include PTO, health, medical, vision, disability, life insurance benefits as well as 401(k), profit-sharing retirement program and much more.
If not already obtained, FINRA LICENSES: SIE & 6TO are required within 12 months of hire. ResponsibilitiesProvide strategic planning and support to financial advisors as they transition to PlanMember.Design customized Personal Transition Plans (PTP), execute all designated tasks required in the PTP, and initiate and track the transition of incoming client assets to PlanMember.Build and maintain positive relationships with transitioning financial advisors and their direct reports.Provide guidance and education to each financial advisor as they become acclimated to PlanMember.Team with internal departments and colleagues to help ensure smooth transitions.Gain and maintain in-depth understanding of company technology, products, and processes.Additional Job Duties: Facilitate the coordination and implementation of transition technology-related items.Complete additional projects as assigned by management.Perform department presentations when required.Maintain strong relationships with field partners and business units to help ensure high quality of service.QualificationsCritical Competencies: (Quality Focus, Compliance)
Perform all work with excellence and adhere to high standards for quality and integrity. Ensure all work and behavior aligns with relevant rules, regulations, policies, best practices, and meets the company's standards of conduct. Strive to follow best practices for high quality work. Stay informed about current regulations and potential future developments by closely monitoring information sources. Ability to assess and provide proactive advice or solutions. Demonstrate a strong sense of discipline and responsibility for recordkeeping and meticulous compliance documentation. Maintain a positive and professional attitude.Important Competencies: (Communicating, Information Seeking)
Communicate concisely, directly, and unambiguously in written and oral formats, considering the receiver's perspective to ensure clear understanding of the message's specifics and purpose. Display a natural curiosity and desire to know more about people, processes, and systems.Supporting Competencies: (Time Management, Active Listening)
Prioritize completing work tasks in a timely manner while remaining responsive to competing demands and shifting priorities. Show genuine interest in actively listening and understanding the content and meaning of others' messages. Possess intermediate user knowledge of Microsoft 365 Suite focusing on Excel, Word, and Outlook. Exemplary customer service skills. Self-starter with strong attention to detail. Excellent written and verbal communication skills.Education2+ years of financial services industry experience preferred or equivalent combination of education.If not already obtained, FINRA LICENSES: SIE & 6TO are required within 12 months of hire.
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