Transition Specialist

Our Broker Dealer, Brokers Financial, is looking for a Transition Specialist. The Transition Specialist is responsible for establishing a relationship with prospective representatives/advisors and be that go to person for their entire transition.  This person would also help train the new representative/advisor on our systems and coordinate with each department for their proper training to create a smooth transition. The Transition Specialist would also be responsible for filing all license and state changes for all reps and the Firm.

Essential Job Functions

• Become the main point of contact for any new reps/advisors to lead them through the on boarding process.  Coordinate with business partners to ensure the best customer service to the new registered representative and advisors as well as establishing a training schedule for each of these departments to create a smooth and timely transition. 

• Assist the new reps and advisors with creating the appropriate form packets to move the book of business to Brokers Financial.  Review newly submitted transitioning account packets for accuracy and completeness and forward appropriately for processing.  Assist the transitioning advisor with the change of broker-dealer requests, including maintaining the tracking mechanism and forwarding appropriately for processing.

• Create, implement, and maintain a tracking system for all new recruits.  Create, implement, and maintain an onboarding process that provides the new representatives/advisors with the white glove service. 

• Update and maintain all forms with any required changes.  Ensure new forms are updated for all locations including the website and workflow systems. 

• Maintain, update and file U-4 and U-5 information, the company’s insurance license for all states and the company’s annual reports for all states. Ensure timely filings.

Knowledge, Skills and Abilities

• Ability to demonstrate our Core Values

• Excellent oral and written skills

• Self-starter

• Must be analytical and detail oriented.

• Ability to identify, weigh and convey potential risks.

• Ability to communicate effectively with all levels of management.

• Maintains high standards of confidentiality of all information.

• Ability to work independently and in a team environment.

Experience and Education

• Must possess strong technical knowledge and advanced understanding of SEC, FINRA, MSRB, and state securities regulations.

• Associate's degree (A.A.) from a two-year college or university and one - three years related experience and/or training; or equivalent combination of education and experience.

• FINRA Series 7 required within first 6 months of employment. Series 24 within 12 months of employment.

Benefits Available

• Medical/Dental/Vision Insurance

• 401(k) Retirement Plan

• Paid Holidays

• PTO

• Community Service PTO

• FSA/HSA

• Life Insurance

• Short-Term and Long-Term Disability

About Integrity

Integrity is one of the nation’s leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead.

Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you’ll love, and we’ll love you back. We’re proud of the work we do and the culture we’ve built, where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind. 

Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are — in person, over the phone or online. Integrity’s employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit Integrity.com.

Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.