Tranisition Liaison Level 1 - PlanMember Financial Corporation

Location Information:  On-Site at our Carpinteria, CA Headquarters

Salary Range: 

Starting salary is typically between $55,000 and $63,000 annually, however, it is ultimately determined by the scope of the position, the candidate's relevant experience, credentials/certifications and internal equity. In addition to salary, benefits include, PTO, health, medical, vision, disability, life insurance benefits as well as 401(k), profit-sharing retirement program and much more

As part of the Transition Services Team, the Transition Liaison acts as the primary contact for financial advisors joining PlanMember. The Transition Liaison will guide transitioning advisors through a comprehensive transition process and coordinate home office resources, helping to ensure a smooth onboarding process. The position also requires providing initial training and overall guidance to financial advisors during their transitioning period. In addition, the Transition Liaison will be responsible for assisting with all aspects of transitioning new Financial Centers and Strategic Alliance Groups.

• Providing strategic planning and support to financial advisors as they transition to PlanMember. This includes designing customized Personal Transition Plans (PTP), executing all designated tasks required in the PTP, and initiating and tracking the transition of incoming client assets to PlanMember.

• Building and maintaining positive relationships with transitioning financial advisors and their direct reports.

• Providing guidance and education to each financial advisor as they become acclimated to PlanMember.

• Teaming with internal departments and colleagues to help ensure smooth transitions.

• Gaining and maintaining in-depth understanding of company technology, products and processes.

• Facilitating the coordination and implementation of transition technology-related items.

• Completing additional projects as assigned by management.

• Performing department presentations when required.

• Maintaining strong relationships with field partners and business units to help ensure high quality of service.

Essential Job Function:  This is NOT an Essential Job Function "Essential Staff" position.

• Critical Competencies: (Quality Focus, Compliance)
  • Perform all work with excellence and adhere to high standards for quality and integrity.
  • Ensure all work and behavior aligns with relevant rules, regulations, policies, best practices and meets the company’s standards of conduct.
  • Strive to follow best practices for high quality work.
  • Stay informed about current regulations and potential future developments by closely monitoring information sources.
  • Ability to assess and provide proactive advice or solutions
  • Demonstrate a strong sense of discipline and responsibility for recordkeeping and meticulous compliance documentation.
  • Maintain a positive and professional attitude.

• Important Competencies: (Communicating, Information Seeking)
  • Communicate concisely, directly, and unambiguously in written and oral formats, considering the receiver’s perspective to ensure clear understanding of the message’s specifics and purpose.
  • Display a natural curiosity and desire to know more about people, processes and systems.

• Supporting Competencies: (Time Management, Active Listening)
  • Prioritize completing work tasks in a timely manner while remaining responsive to competing demands and shifting priorities.
  • Show genuine interest in actively listening and understanding the content and meaning of others' messages.
  • Possess intermediate user knowledge of Microsoft 365 Suite focusing on Excel, Word and Outlook.
  • Exemplary customer service skills
  • Self-starter with strong attention to detail
  • Excellent written and verbal communication skills

• High School Diploma required.

• Bachelor’s degree in finance, Accounting, Business Administration, or related field (or equivalent work experience) a major plus.

• Previous experience of two plus years in a financial services or operations role.

FINRA SIE, Series 6 or 7 preferred or willingness to obtain within 12 months from hire

Position Information:  This job description is intended to convey information essential to understanding the scope of the position and is not an exhaustive list of skills, efforts, duties, responsibilities, or working conditions associated with it. PlanMember reserves the right to modify duties or job descriptions at any time.

PlanMember Financial Corporation is an Equal Opportunity Employer. PlanMember does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law. All employment is decided on the basis of qualifications, merit, and business need.