What are the responsibilities and job description for the Sr. Onboarding Operations Specialist position at Kestra Holdings?
ABOUT US :
Come join the dynamic team at Kestra Financial! Kestra Financial provides a leading independent advisor platform that empowers sophisticated, independent financial professionals, including traditional and hybrid RIAs, to prosper, grow, and provide superior client service. With a culture rich in reinvention and advisor advocacy, Kestra Financial has developed integrated business management technology that, combined with its personalized consulting services, offers exceptional scale and efficiency. Kestra Financial supports independent financial advisors in delivering comprehensive securities and investment advisory services to their clients.
The Sr. Onboarding Operations Specialist reports to the Director of Account Services. You will establish several account and product types, focusing on non-Advisory and Advisory brokerage accounts. You will travel on-site to provide high levels of service to our onboarding firms, while working to maintain our client accounts and provide onsite training for operational responsibilities.
ESSENTIAL DUTIES AND RESPONSIBILITIES :
- Process New Accounts, incoming Transfers, direct rollovers, PIPs, SWPs, and special account features for transitioning firms
- Enter new account data into AdvisorComplete℠ for our onboarding firms
- Review for completeness of new accounts entered in AdvisorComplete by the field
- Answer advisor and staff questions regarding paperwork requirements and the status of new accounts and transfers by inbound calls and emails
- Contact representative's offices when paperwork is not in good order (NIGO)
- Initiate incoming transfers and direct rollovers
- Provide on-site operational support to onboarding advisors
- Forward transfer paperwork to appropriate recipient (NFS, Cashiering or Trading)
- Work with Sales Supervision to resolve paperwork issues
- Conduct on-site operations training to assigned firms
- Remove or update special account features (check writing, margin, periodic IRA distributions)
- Establish Systematic Withdrawal Plans (SWP)
- Establish Periodic Investment Plans for transitioning firms (PIP)
- Process name changes & SSN corrections
- Update address and suitability information, where needed, on client accounts in AdvisorComplete and FBSI
- Organize client files in LaserFiche so that we have complete client records
- Educate representatives and their assistants on how to use AdvisorComplete
- Support our department efforts 24-hour processing standards
- Other responsibilities and projects as assigned by manager
- Will be asked to travel 65% of the time.
- May be asked to work overtime because of heavier volumes (especially in December, March and April)
KNOWLEDGE, SKILLS, AND / OR ABILITIES :
SUPERVISORY RESPONSIBILITIES : None
EDUCATION AND / OR EXPERIENCE :
CERTIFICATIONS, LICENSES, REGISTRATIONS : None
OTHER DUTIES :
INTERNAL APPLICANT POLICY :
Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP.
BENEFITS :
Full health, vision, dental. 401(k) plans along with a host of voluntary plans such as car insurance, legal services and more (applicable to full-time, permanent employees).
DISCLOSURE
By applying to a job at Kestra Financial, Inc., you are agreeing to the following statements :
KESTRA VALUES :
Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them. We do that by living our values : SERVE, MAKE IT HAPPEN, and ONE TEAM.
