Job Title: Advisor Transitions Associate
Department: Advisor Transitions
Reports To: Director of Advisor Integrations
Job Overview:
Bleakley Financial Group is seeking an organized and detail-oriented Advisor Transitions Associate to assist in the onboarding and transition of advisor teams and firms. This role will support the Transition Operations Manager in managing the operational details of transitions, specifically the custodial aspects, and will be primarily data input for paperwork and transfer of assets. The ideal candidate will have a passion for operations and a background in the financial services industry, with a strong ability to manage tasks, track progress, and communicate effectively with both internal teams and external partners.
Key Responsibilities:
- Assist in managing the end-to-end transition process for incoming advisor teams and firms, ensuring operational tasks are completed on time and accurately.
- Handle the day-to-day details of account transfers, client data migration, and paperwork, ensuring all processes are executed smoothly.
- Generate and issue Investment Advisory Agreements and other internal contracts, forms, and materials to advisors, staff, and clients, maintaining efficiency and regulatory alignment.
- Maintain structured digital filing systems and upload documentation into project management software to support team collaboration and operational efficiency.
- Serve as a point of contact for advisors and internal departments, addressing simple operational questions and escalating complex issues to the Transition Operations Manager as needed.
- Coordinate with internal teams, including compliance, legal, IT, and client services, to ensure a seamless onboarding experience for new advisors.
- Track the progress of transitions, maintaining accurate records of tasks, documentation, and communication throughout the process.
- Ensure all compliance and regulatory requirements are met during transitions, working closely with the compliance and legal teams to manage necessary documentation.
- Provide administrative and operational support to the Transition Operations Manager, assisting with the execution of workflows, scheduling, and project management tasks.
- Collaborate with technology teams to help set up new advisors on Bleakley's systems, providing guidance and troubleshooting when necessary.
- Work with the team to train teams on custodial functionality and best practices, as well as other supporting platform systems.
Qualifications:
- Bachelor's degree in Business, Finance, or a related field.
- 2+ years of experience in financial operations, client services, or an administrative role in the financial services industry.
- Familiarity with client account processes, operations systems, and financial technology platforms.
- Strong organizational and time management skills, with the ability to handle multiple tasks and deadlines.
- Excellent communication and interpersonal skills, with a service-oriented mindset.
- Basic knowledge of regulatory compliance and industry standards (FINRA, SEC, etc.) is preferred.
- Ability to work collaboratively in a fast-paced environment.
- Experience with Charles Schwab and/or Fidelity a plus.
- Experience with Salesforce and Orion, or similar reporting software a plus.
- Experience with DocuSign a plus
Right to Revise:
This job description is not meant to be all-inclusive, and the Company reserves the right to revise this job description as necessary without advance notice.
The statements herein are intended to describe the general nature and level of work being performed by the employee. They are not to be construed as an exhaustive list of responsibilities, duties, and skills required of personnel so classified. Furthermore, they do not establish a contract for employment and are subject to change at the discretion of the employer without notice.
Why Join Us:
- Opportunity to play a key role in the growth and success of a leading RIA firm.
- Collaborative and supportive team environment.
- Competitive salary and benefits package.
- Continuous professional development opportunities.
- High end office located in Parsippany NJ with gym on-site.
- Culture activities focused on health & wellness, team collaboration, and employee engagement.