Location: New Orleans, LA or Remote
Duties and Responsibilities:
Primary point of contact for all new assistants that are joining the RIA platform and/or LPL Financial. Assist Transition Managers with the coordination of 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. Assist in the research of 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 services & 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 CEO and COO.