Advisor Transitions Specialist

This is a fully remote position, open to applicants in United States.

📋 Description

• Assist in the effective implementation and delivery of Docupace’s Advisor Transition solution.

• Configure, test, troubleshoot, and provide support for advisor transitions between Broker-Dealer firms and agencies.

• Contribute to the business and technical definition, configuration, testing, enhancements, production support, table updates, and implementation of IT business solutions.

• Define and formulate system scope and objectives through research, fact-finding, and an understanding of business systems and industry standards.

• Plan, estimate, and monitor work deliverables.

• Analyze business and user requirements, document business needs, and convert them into functional specifications.

• Support design, construction, and testing efforts for smaller-scale enhancements and projects.

• Evaluate technological alternatives through requested data collection and analysis.

• Implement relevant new information technology products and services into business projects and analyses.

• Assist users, oversee production activities, and aid in the development of training and business procedures.

• Conduct system maintenance, which includes form updates, domain updates, form data mapping, test script creation, and supporting system documentation.

• Prepare technical and business specifications for statements of work.

• Communicate processes to clients, explain process steps, troubleshoot issues, and resolve problems.

⛳️ Requirements

• Bachelor’s Degree or equivalent experience in IT or a business-related field.

• 1–3 years of relevant work experience.

• Previous experience in the financial services industry with direct exposure to broker-dealer and RIA operations, particularly in recruiting and advisor onboarding.

• Strong understanding of industry terminology, including FINRA/SEC regulations, disclosures, and form requirements.

• Familiarity with core operational workflows.

• Excellent customer service skills.

• Clear and professional verbal and written communication with external clients.

• Strong client-facing communication, interpersonal, and consulting abilities.

• Capability to build trust and confidence with employees at all levels, including senior executives.

• Strong problem-solving skills and keen attention to detail.

• Proficiency in Microsoft Excel, including advanced functions such as VLOOKUP and Pivot Tables.

• Strong organizational skills with the ability to work independently.

• Capacity to prioritize multiple tasks and meet deadlines in a fast-paced setting.

• Ability to meet the specified physical demands, which include frequent sitting and walking, occasional standing, lifting/carrying, and kneeling/crouching/bending/stooping.

🏝️ Benefits

• Reasonable accommodations available for applicants and employees who need them.

• Equal employment opportunity and a work environment that is free from discrimination and harassment.