Transition Specialist

The Transition Specialist is a member of the M&A Transition and Integration team responsible for supporting the successful transition and integration of newly recruited financial advisors and acquired advisory practices into the firm. Reporting directly to the Senior Manager, M&A Transition and Integration, this role provides hands-on operational support throughout the transition process, including custodial account opening and transfers, client documentation, billing setup, Salesforce tracking, advisor and staff support, and onsite transition activities.

The Transition Specialist I works closely with the Senior Manager and Senior Transition Specialist to execute established transition plans, timelines, and deliverables while developing deeper expertise in advisor transitions, custodial processes, billing, and wealth management operations.

This role is ideal for someone who is highly organized, detail-oriented, service-driven, comfortable managing multiple priorities, and interested in growing into greater transition ownership over time. Based on experience, this role could be more senior.

KEY RESPONSIBILITIES

Advisor Transition & Integration Support

• Support the execution of advisor recruits, acquisitions, custodial conversions, and integration initiatives.

• Execute assigned transition tasks, milestones, and deliverables under the direction of the Senior Manager, M&A Transition and Integration.

• Serve as a day-to-day transition resource for advisors and support staff.

• Maintain accurate project notes, outstanding items, timelines, milestones, and transition activity within Salesforce.

• Support multiple active transitions simultaneously while maintaining organization and responsiveness.

• Participate in transition planning meetings, advisor onboarding activities, transition weekends, and post-transition support.

• Identify delays, risks, or issues and escalate them appropriately.

Custodial & Account Transition Support

• Assist with analysis and preparation of incoming books of business.

• Coordinate account opening, maintenance, ACAT and non-ACAT transfers, registrations, rep-code changes, asset movement, and custodial conversions.

• Prepare, review, and track DocuSign packages and other required client documentation.

• Monitor account openings and transfers and follow up on rejected items, NIGO items, missing documentation, and transfer delays.

• Communicate directly with custodians to resolve routine account and transfer-related issues.

• Maintain working knowledge of Charles Schwab and Fidelity systems, processes, and documentation requirements.

Billing & Operational Setup

• Assist with advisory billing setup and transition activities.

• Review advisor fee schedules, including tiered fee schedules, and support accurate setup within Orion.

• Assist with account coding, householding, data validation, rep-code setup, and other operational integration activities.

• Identify billing or system discrepancies and escalate concerns appropriately.

• Partner with internal Billing, Finance, Operations, and advisor teams to ensure required information is complete and accurate.

Advisor & Staff Support

• Develop strong working relationships with transitioning advisors and administrative staff.

• Provide responsive, hands-on support throughout the transition process.

• Assist advisor teams with understanding firm procedures, custodial workflows, Salesforce, Orion, DocuSign, billing processes, and other operational requirements.

• Provide temporary transition-related administrative support when needed.

• Maintain professionalism, urgency, discretion, and a high level of service during all transition activity.

Cross-Functional Coordination

• Coordinate assigned transition activities across Operations, Compliance, Technology, Finance, Billing, Investments, Marketing, Human Resources, Legal, and other internal teams.

• Follow up on outstanding deliverables and dependencies.

• Maintain clear documentation of responsibilities, decisions, and next steps.

• Escalate unresolved issues or project risks to the Senior Manager, M&A Transition and Integration.

Process Improvement

• Follow established transition processes, checklists, templates, and playbooks.

• Participate in post-transition reviews.

• Identify opportunities to improve transition workflows and the advisor experience.

• Assist with maintaining transition procedures, training resources, and documentation.

REQUIRED QUALIFICATIONS

• 2+ years of experience in wealth management operations, advisor transitions, client service, custodian management, or a related financial services role.

• Experience working with Charles Schwab and Fidelity is required.

• Experience with Orion and Salesforce is required.

• Working knowledge of tiered fee schedules and advisory billing processes is required.

• Knowledge of account opening, ACAT and non-ACAT transfers, registrations, asset movement, account maintenance, and custodial workflows.

• Experience working directly with financial advisors, client service associates, or administrative staff.

• Strong organizational and time-management skills.

• Ability to manage multiple deadlines and priorities simultaneously.

• Strong attention to detail and follow-through.

• Excellent written and verbal communication skills.

• Strong problem-solving skills and willingness to ask questions or escalate when appropriate.

• Ability to work independently as well as collaboratively within a team environment.

• High ethical standards and commitment to maintaining advisor and client confidentiality.

PREFERRED QUALIFICATIONS

• Experience with Pershing, LPL Financial, Goldman Sachs, or similar custodial or wealth management platforms.

• Experience supporting advisor recruiting, acquisitions, custodial conversions, or complex onboarding initiatives.

• Experience within an RIA, broker-dealer, hybrid wealth management firm, custodian, or similar financial services organization.

• Experience with DocuSign and electronic account-opening platforms.

• Experience supporting operational projects with multiple stakeholders and deadlines.

• Bachelor's degree in Business, Finance, Operations, Management, or a related field preferred; equivalent industry experience will be considered.

TRAVEL REQUIREMENTS

• Approximately 20–30% travel is required.

• Travel may include advisor offices, acquisition locations, firm offices, transition weekends, and other onsite transition support.

• Frequent short-notice travel should be expected based on transition activity and business needs.

• Travel may occur over weekends and holidays.

• Ability to work extended hours during active transition periods is required.