The Sr. Transition Consultant will provide both transition and ongoing support to experienced financial professionals making the transition to 1847Financial and HTK from another broker-dealer. This role will provide phone support, training assistance and best practices information to existing HTK Financial Professionals with their product, technology and service needs.
Essential Functions
- Ensure efficient and effective transitions of Experienced Financial Professionals
- Measure and manage to key metrics as defined by leadership
- Report to leadership on a consistent basis the advancement of key metrics
- Track and manage the progress of Financial Professional transitions, offering frequent status updates and engaging in regular communications between advisors, field office and home office associates.
- Serve as first point of escalation for the transitions team and work to solve issues that may arise in the process
- Work closely with leadership in Operations, Supervision, Compliance and Product to ensure a seamless and coordinated transition
- Engage individual financial professionals to facilitate the movement of their existing business to HTK.
- Work closely with 1847Financial field offices to ensure a standardized transition process
- Maintains working knowledge of all related industry rules and regulations
- Coordinate information, product and sales ideas from outside product vendors and distribute as appropriate
- Additional project management, strategic initiatives, support as needed
- Complies with all company and site policies and procedures
- Remains current in profession and industry trends
- Successfully completes regulatory and job training requirements
- Performs other duties as assigned
Required Skills
- Familiarity with Pershing a plus.
- Strong relationship building skills across the organization
- Strong project management skills
- Proactive customer service orientation
- Excellent problem solving skills
- Excellent organizational skills and demonstrated ability to manage multiple tasks simultaneously under tight deadlines
- Strong oral and written communication skills
- Ability to make a positive contribution as demonstrated by learning new skills and making suggestions for process/procedure improvement
- Ability to work with others in a collaborative team environment
Required Experience
Education
- Bachelor's Degree in related field
Experience
- 5-7 Years Life insurance and/or broker-dealer/RIA in a transitions role
Licenses and Certifications
- FINRA Series 7 Required
- FINRA Series 66 within 180 Days Required
Penn Mutual helps people become stronger. Our expertly crafted life insurance is vital to long-term financial health and strengthens people’s ability to enjoy every day. Working with our trusted network of financial professionals, we take the long view, building customized solutions for individuals, their families, and their businesses. We support our financial professionals with retirement and investment services through our wholly owned subsidiary, Hornor, Townsend & Kent, LLC, member FINRA/SIPC.
Base Salary Range: $75,000 -$110,000