What are the responsibilities and job description for the Broker-Dealer Operations Specialist/Transitions Specialist position at uFinancial Group?
Job Title: Broker-Dealer Operations Specialist / Transitions Specialist
Position Summary:
We are seeking a Broker-Dealer Operations Specialist / Transitions Specialist to serve as an internal resource for advisors and skilled support staff, handling investment business operational escalations and research. This role will also focus on onboarding experienced advisors by overseeing and facilitating the transition of investment accounts, including ACAT transfers and broker-dealer changes.
Essential Functions:
- AUM Transitions & Onboarding: Manage and facilitate the transition of investment accounts (ACAT transfers, broker-dealer changes) for experienced advisors joining the firm.
- Operational Support & Escalations: Act as the internal point of contact for researching and resolving Broker-Dealer escalations, investment operations issues, and business submission inquiries.
- Product Knowledge & Due Diligence: Stay informed on a wide range of investment products, including equities, fixed income, annuities, and structured products. Conduct proactive research and due diligence to ensure alignment with client and advisor objectives.
- Collaboration & Compliance: Work closely with compliance and internal departments to ensure smooth onboarding and operational efficiency.
- Occasional Travel: Travel may be required to newly onboarded detached offices as needed.
Minimum Job Requirements:
- Experience: Minimum three years of experience with a FINRA-registered firm or a comparable investment/insurance firm.
- Investment Knowledge: Proven experience in investment management, financial analysis, or a related role.
- Technology Skills: Proficiency in Microsoft Word, Excel, and Outlook, with the ability to learn MassMutual applications.
- Communication & Presentation: Strong verbal and written communication skills, with the ability to manage projects and collaborate with teams effectively.
Additional Notes:
This job description provides a summary of typical job functions and is not an exhaustive list of all responsibilities, tasks, or duties. The actual responsibilities may vary, and additional tasks may be assigned as needed.
Interested candidates should submit their resume and cover letter for consideration.
Job Type: Full-time
Pay: $60,000.00 - $67,000.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Employee assistance program
- Flexible spending account
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Paid training
- Vision insurance
Experience:
- FINRA Firm: 2 years (Required)
Ability to Commute:
- Mechanicsburg, PA 17050 (Preferred)
Work Location: Hybrid remote in Mechanicsburg, PA 17050
Salary : $60,000 - $67,000