Operations Transition Concierge Specialist II

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Brokerage Operations Opportunity in Financial Services

Operations Transition Concierge Specialist II

Location:          10 Exchange Place, Suite 1410  Jersey City, NJ 07302


This position is responsible for performing all aspects of a Top Producer Advisor’s transition to join the Broker dealer.  Ensure quality and timeliness in service delivery and monitoring the completion of processing requests to the various Operations processing teams.

Keys:    brokerage operations, operations processing, client services  


  • Responsible for the daily review of current and planned Top Producer Advisor transitions by handling problem resolution of all aspects of transition.
  • Monitor turn-around times and accuracy of the processing from the New Account, Transfers, Cashiering, and Margin teams as it relates to work associated with a transition.  
  • Assists the Transition Concierge Site Leader with preparing and executing Transition Plans for each incoming Top Producer Advisor.
  • Manage daily touch points with transitioning advisors to ensure excellent communication occurs.
  • Assist incoming Top Producer Advisors and their office staff with any questions regarding transition.
  • Act as an advocate for the transitioning Top Producer Advisor with any other areas across the organization to push for resolution, escalation of issues, and responsiveness to any questions.
  • Work closely with the Recruiting team to identify transition candidates, assist with HOVs by presenting the uniqueness of our transition process, and to communicate regularly regarding the status of current transitions.
  • Represent the Advisor Group organization as one of the first touch points with Top Producer Advisors to establish a strong sense of accomplishment and comfort that the job will be handled effectively.
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required. 

Basic Requirements:

  • At least five years’ industry experience, inclusive of at least two years in a transition assistance role
  • FINRA Series 99 is required within nine months of hire date

Preferred Requirements:

  • FINRA Series 7 and 24 preferred