Job Location: This position is a hybrid role for candidates in New Orleans, Baton Rouge, LA, or San Diego, CA. Full-time remote candidates will also be considered.
EdgeCo Holdings is comprised of several affiliated companies focused on providing a broad array of sophisticated financial products, technology, and support services in the areas of full-service retirement plan administration, brokerage services, and trust & custody solutions. EdgeCo provides these services through numerous subsidiary entities including American Trust, Mid Atlantic Trust Company, NewEdge Capital Group and PensionPro Software.
Primary point of contact for all transitions to the RIA platform. Coordinate meetings, calls, paperwork and tasks related to transitions between new teams and various departments at NewEdge Advisors Advisors. Duties can include but are not limited to; providing pre- and post-transition administrative support, including onsite support, onboarding new advisors and staff on broker/dealer-specific systems, training new teams with account opening process and software systems. Liaise with broker/dealer to ensure systematic, efficient transitions for advisors’ books of business. Research real-estate solutions, vendor selection and management, office and technology set-up, and ongoing support. Track and document each transition steps in project management software. Create and maintain transition & operations procedures manual and supporting materials. Ensure seamless handoff of new teams post-transition to service & operations team.
During the transition phase, ensure advisors are completing pre- and post-transition documentation needed for license transfers in accordance with compliance regulations. Work closely with the compliance team to ensure that operational and account-opening policies and procedures are implemented and followed.
Serve as a backup point of contact for service & operations team to resolve advisor support inquiries via phone, email and CRM. Support advisors with troubleshooting operational issues, escalate issues to various departments when appropriate. Utilize technology solutions to provide effective oversight & support to advisors. Liaise with vendors and custodian/BD back offices to solve advisor-specific operational issues as well as firm-wide issues.
Additional transitions and operational duties as assigned by the Director of Transitions and President of NewEdge Advisors.
Skills & Qualifications:
Ability to communicate professionally in writing or verbally with co-workers, advisors, and other business units as required.
Ability to work in a busy office environment, while handling situations in a calm & professional manner.
Ability to remain flexible while working in a growing organization.
Ability to collaborate with colleagues and to manage staff.
Ability to clearly and concisely explain complex information.
Ability to determine appropriate plan of action for each unique transition.
Ability to collaborate and provide recommendations.
Ability to communicate and project a positive, professional attitude with co-workers, customers, and various business contacts in person and over the telephone.
Ability to develop professional relationships and maintain confidentiality.
Ability to investigate, research, and resolve problems.
Ability to organize, prioritize, and handle multiple tasks within established timeframes.
Ability to pay close attention to detail, work under pressure and meet or exceed deadlines.
Ability to continually stay updated with new information.
Ability to be at work on a regular and predictable basis.
Experience & Requirements:
Securities industry experience within organizations providing investment advisory services is required.
5 to 10 years of experience as a client relationship manager or administrative assistant.
Experience with Raymond James, Schwab, Fidelity or LPL Clearing preferred.
Experience with wirehouse to RIA advisor transitions required.
Orion portfolio management system or similar program experience is preferred.
Skill in operating various office and software programs (i.e., Microsoft Office, Redtail CRM, Project Management systems).
Bachelor’s degree preferred.
Series 7 is required, and Series 24 is highly preferred.
Management experience is required.
FBI background check required.
Must have the ability to travel on a limited basis to perform required transition functions.
Employees are eligible to participate in company benefits including health, dental, and vision insurance on the first of the month after their hire date. The company also provides a 401(k) plan with company match, group life insurance, short- and long-term disability, as well as additional voluntary benefits for employees to elect participation in.