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Transition Consultant - Broker Dealer

Transition Consultant - Broker Dealer

Job Description


This position is responsible for the successful transition of new financial advisors to NFP Advisor Services Group.


ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job successfully, individual must be able to perform each essential duty satisfactorily.


  • Relationship Management/Project management – work closely with new firms, advisors, and internal departments to transition business and minimize issues with a high degree of customer satisfaction.
  • Educate each new representative and staff member on the policies and procedures of working with NFP, including required client account documentation.
  • Visit new high profile firms and provide on-site training and consultation for producers and staff.
  • Move business to the AdvisorEnterprise RIA platform powered by Envestnet technology.
  • Serve as the main point of contact for new firms and provide proactive communication with each firm on a regular basis.
  • Maintain communication log with firms, and enter and maintain vital firm data via SalesForce.
  • Ensure all required registration documents for all producers and staff are completed, overseeing registration process through completion.
  • Work closely with operational teams to ensure efficient and accurate processing of transitioning account set up and transfer paperwork. 
  • Attend transition team meetings and take part in the strategic planning of moving over transitioning firms.
  • Demonstrate strong analytical skills with a basic understanding of all financial services offered through NFP.
  • Maintain all training materials necessary for new firms and internal needs.
  • Special projects as determined by manager.
  • Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork

Job Requirements



  • Must be able to perform duties accurately and timely. Excellent communication (both verbal and written) and time management skills are required.
  • Strong customer service skills.
  • Must routinely exercise independent judgment and be able to work independently.
  • Basic computer skills (Outlook, Word, Excel and Power Point) are essential.
  • Good presentation skills are also a necessity.
  • Must be able to manage projects efficiently and effectively, as well as meet established deadlines.
  • Must be very detail oriented and be able to work in a fast paced environment.
  • Occasional travel may be required (up to 10%).








  • Bachelor’s degree in a business-related field preferred
  • The ideal candidate will have 3+ years experience in the financial services industry allowing for a good understanding of broker/dealer back office operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
  • Previous experience in the independent financial services culture preferred.





  • Series 6 or 7 preferred
  • Series 65/66 preferred
  • Series 24 preferred (or ability to obtain)
  • Life, Health & HMO Agent license a plus



PHYSICAL DEMAND:  The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. 


  • Sitting and utilizing a computer for long periods of time.
  • Standing, walking, talking, hearing, sitting, reaching, grasping.



WORKING CONDITIONS:  Climate controlled office environment.

Job Snapshot

Employment Type Full-Time
Job Type Finance, Banking, Insurance
Education 4 Year Degree
Experience At least 3 year(s)
Manages Others No
Relocation No
Industry Banking - Financial Services, Insurance
Required Travel Negligible
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Transition Consultant - Broker Dealer

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