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Senior Practice Transition Specialist

Job ID: R-006198 Date posted: 03/21/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

Position Summary:

The ideal candidate will have an understanding of the financial services industry and a willingness to operate in a dynamic, fast-paced, customer-driven environment.  Outstanding customer service and effective communication skills are essential. Developing and maintaining essential relationships by acting as the primary point of contact and key business partner for advisors buying or selling their financial practice. The Practice Transition Specialist (PTS) will oversee the transition process for multiple groups of advisors going through their business transition.

Essential Functions:

  • Develop and maintain essential relationships by acting as the primary point of contact and key business partner for transitioning buying and selling advisors.
  • Strategic Planning and Execution: Create a customized transition plan outlining the applicable tasks, ownership, and expected dates of completion. Manage accountability of task assignments and targeted completion dates. Utilize internal resources to ensure transition milestones are completed and advisor expectations are met.
  • Successfully consult & manage all transition integration activities with buyer and seller including individuals converting between LPL platforms.
  • Effectively communicate expectations to team members and stakeholders in a timely and clear fashion. Proactively manage changes in scope, identify potential risks and devise contingency plans.
  • Marketing Analysis and Planning: Partner with Marketing and Regulatory Review to evaluate client-facing correspondence, make recommendations for a marketing plan and ensure all marketing materials have been submitted for review and approval.

Other Job Duties and Requirements:

  • Provide superior service to buying and selling advisors by handling incoming inquiries on the department email or individual phone line regarding completion of transition items.
  • Coordinate any needed training on systems and processes with advisors and/or their office staff.
  • Collaborate with appropriate business areas to answer advisors’ questions and act as a single point of contact in order to provide a quality transition experience.
  • Work closely with internal departments involved in the transition process to ensure seamless handoffs are made for advisors and to ensure proper resource allocation to support advisor transition.
  • Ability to adapt to a fluid environment with frequently changing priorities, processes, requirements, etc.
  • Support department projects and initiatives as necessary.
  • Support other functions of the team such as reporting, data migration, service, etc. if applicable.
  • Ability to partner closely and establish productive working relationships with other business units.
  • Ability to confidently present in front of small groups.

Education Requirements:

  • Bachelor’s Degree or minimum 5 Years Business Equivalent
  • Minimum 5 years of financial services industry experience, preferably in advisor transitions, project management or relationship management

Licenses/Certifications:

  • Series 7,63, or 66, preferred

Software/System Skills Preferred:

  • Microsoft Office Product Suite
  • Salesforce

Soft Skills:

  • Self-motivated team player
  • Excellent verbal and written communication skills
  • Superior phone skills
  • Must be able to organize activities and handle multiple assignments simultaneously
  • Effective and timely follow-up required
  • Ability to identify efficiencies in existing processes and procedures in order to foster continuous improvement both individually and at the team level
  • Critical & Strategic Thinking Skills

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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  • Sales and Marketing, San Diego, California, United StatesRemove
  • Sales and Marketing, Fort Mill, South Carolina, United StatesRemove