Assistant Vice President, Transitions Processing

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Thank you for your assistance and consideration of Advisor Group for the next step in your career.

nn Assistant Vice President Opportunity in Financial Services nn nn AVP of Transitions Processing nn nn n Location(s): nn nn 2300 Windy Ridge Parkway, Atlanta, GA 30339 nn nn 20 E Thomas Road, Phoenix, AZ 85012 nn nn 7755 Third Street North, Oakdale, MN 55128 nn nn 10 Exchange Place, Jersey City, NJ 07302 nn nn 877 Executive Center Drive West, St.

Petersburg, FL 33702 nn nn 12325 Port Grace Blvd, La Vista, NE 68128 nn nn Summary: nn nnAs a member of the Transition Team, the Assistant Vice President of Transitions (Processing) is in charge of and accountable for service delivery to our transitioning and existing Representatives for an assigned department of Transitions Processors, SWOT/SIS Processors, Acquisition/Succession Processors, Managers and Supervisors. nn nnThe teams are primarily responsible for assisting transitioning Reps with document processing as well as providing customized operational assistance to existing Reps in support of strategic asset movements.

The teams partner with members of other internal departments and all levels of management in all aspects of Financial Advisor support.

The AVP is responsible for holding the supervisors, managers and the overall team accountable for delivering quality and timely service to our Reps through training and developing direct reports, handling escalations, providing coaching and guidance, and driving continuous improvement.

Additionally, the teams will also be expected to be cross trained on their respective procedures and processes to increase the bandwidth of the teams.

This role will work closely with the SVP and other leaders to develop and execute on the integration efforts for these teams across the AG firms.nn nn Why Advisor Group? nn Competitive salary and annual bonus paid based on performance Generous time off package, including paid time off, paid holidays, and paid time to volunteer in the community Immediate access to extensive benefits package that includes medical, dental and vision coverage, basic life insurance, long and short-term disability coverage and much more 401(k) match from day one of employment Referral bonuses if we hire your referred applicants to our open positions An enriching and engaging career in financial services – our employees overwhelmingly report that they find meaning and purpose in their day to day work Executive leader access and interaction in all our locations due to flat structure, open office environments, town halls and speed mentoring events New, professional, and collaborative working environment where parking is provided nn Responsibilities: nn Lead the assigned SWOT and Transitions Processing teams, engaging managers, supervisors and teams, hiring the best talent, setting goals, developing staff, instilling customer service fundamentals, managing performance and driving accountability.

This includes having one-on-one regular meetings, coaching sessions, and conducting daily quality assurance reviews.

Lead the integration efforts of processing teams between the AG legacy and LT firms.

Evaluate and develop best ways to introduce and expand SWOT and acquisition/succession services across all firms.

Develop ways to enhance SWOT support services offered to our Reps to drive and support Net New Asset program.

Elevate knowledge level of managed account platforms and eQuipt on all teams.

Crosstrain the teams to increase team’s overall bandwidth and better manage fluctuating service requests.

Establish a customer-focused culture (both for internal and external customers) through developing direct reports and the team, setting expectations and leading by example, and establishing a collaborative work environment.

Monitor team’s accuracy, timeliness, customer service levels, customer service attitudes, processing volumes and processing accuracy.

Provide in-the-moment direction, coaching and corrective feedback.

Regularly audit work for accuracy and coachable moments.

Manage workflow and provide guidance to meet service level agreements.

Drive the concept of continuous improvement within the team by measuring key metrics, holding managers, supervisors and individuals accountable to goals, and inspiring innovative thinking.

Assist with educating Reps about processes, procedures and systems.

Serve as subject matter expert for escalations.

Assist Team Members with research on difficult questions or escalated issues.

Learn, use and support various financial products, software and systems.

Support other Operational teams on financial transactions, escalations and account maintenance.

Timely and accurate response to audit and regulatory requests.

Work overtime as needed to support work load and meet project deadlines.

All other duties as assigned nn Education Requirements: nn Bachelor’s Degree from accredited university in Business, Finance, or related field required nn Basic Requirements: nn 10+ years of financial services experience (preferably in broker-dealer or wealth management space), inclusive of 5+ years as a supervisor/manager or in a leadership role Highly proficient user of NetX360 and/or Wealthscape, Microsoft Word, Excel, Outlook, Power Point and Internet Explorer Experience and comfort with a high-volume operations setting, with competing demands, multiple priorities and fast-paced environment; Recognized expert in operations, customer service fundamentals, operational excellence and leadership Proven track-record of success in increasing customer service and service levels, evidenced by measurable improvements in customer satisfaction, coaching and process improvement Experienced in driving accountability, measuring results, defining and measuring key metrics Action oriented, working leader who works alongside the team to get work done Can act as subject matter expert for employees cross functionally Manage HR responsibilities for personnel Run and oversee the daily responsibilities of various departments Motivate staff to contribute to the success of the department Manage various training sessions/programs, projects and meet deadlines Excellent written & verbal communication and organizational skills Exercise strong problem solving and decision-making skills nn Preferred Requirements: nn FINRA Licenses 7 and 24 preferred Experienced in leading Broker-Dealer and/or Registered Investment Advisor operations, including experience with various custodians and clearing firms (e.g.

Pershing, NFS, Schwab, TD Ameritrade, AssetMark, etc.) and asset management companies (e.g.

Envestnet, AssetMark, SEI, etc.) Deep knowledge of firms’ managed account platforms preferred (e.g.

WMP, Managed Opportunities) Desired competencies include: Action oriented, command skills, leading and developing direct reports, innovation, continuous improvement, managerial courage, accountability, measuring change, metrics focus, and drive for results 5+ years’ experience working on the National Financial Services and/or Pershing LLC Platform Salesforce Force experience Has IRA, Securities, New Account Maintenance, Money Movement Transfer and Investment Advisory experience Be A Part Of The Team Behind Our Success!

nnAt Advisor Group, we support more than 11,000 financial advisors, the people who help everyday Americans achieve their dreams.

We’re a billion-dollar business with the mentality and drive of a startup.

Join us in building something special.nn Equal Opportunity Employer nnAdvisor Group is an equal opportunity employer.

We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color