Mass Account Transfers Operations Consultant

Essential Duties & Responsibilities

• Lead mass account transfer conversions and other department initiatives.

• Manage project plans, timelines, milestones, dependencies, risks, and deliverables to support successful execution.

• Coordinate activities across Operations, Technology, Compliance, Risk, Finance, and business teams to support business objectives.

• Serve as a trusted operational consultant to business partners by identifying risks, assessing impacts, evaluating alternatives, and recommending solutions.

• Provide subject matter expertise related to account transfers, onboarding processes, operational workflows, and service delivery considerations.

• Facilitate meetings, working sessions, and stakeholder discussions to drive alignment, decision-making, and issue resolution.

• Partner with internal and external stakeholders to ensure operational readiness and seamless execution of conversion activities.

• Monitor project progress and operational performance, proactively identifying and addressing risks, issues, and roadblocks.

• Support regulatory, compliance, and risk management requirements throughout the conversion lifecycle.

• Develop and maintain reporting, presentations, and executive updates regarding project status, key decisions, and operational readiness.

• Identify opportunities to improve operational efficiency, scalability, controls, and client experience throughout conversion and onboarding activities.

• Coordinate multiple concurrent initiatives while balancing competing priorities and deadlines.

• Build strong working relationships and influence outcomes across a broad range of stakeholders.

• Ensure a high level of service and support for advisors, clients, and business partners throughout the conversion process.

Knowledge, Skills & Abilities

• Strong understanding of financial services operations, brokerage operations, wealth management operations, or related business functions.

• Demonstrated ability to lead complex operational initiatives involving multiple stakeholders and business units.

• Experience supporting advisor conversions, onboarding activities, acquisitions, integrations, or operational change initiatives.

• Knowledge of account transfer processes, advisor onboarding, or wealth management operations.

• Ability to identify operational issues, evaluate alternatives, and implement effective solutions in a regulated environment.

• Strong project management and organizational skills, including the ability to manage multiple priorities simultaneously.

• Excellent analytical, problem-solving, and critical-thinking capabilities.

• Strong verbal, written, and presentation communication skills.

• Ability to effectively communicate with frontline associates, business leaders, and executive stakeholders.

• Strong relationship management and stakeholder engagement skills.

• Ability to navigate ambiguity and drive results in a dynamic environment.

• Advanced proficiency with Microsoft Office applications, including Excel, PowerPoint, and Word.

• Ability to connect information across multiple workstreams and translate complex concepts into actionable plans.

Education

Bachelor's degree in Business, Finance, Operations Management, or a related field, or an equivalent combination of education and experience.

Licenses & Certifications

• Securities Industry Essentials (SIE) highly preferred.

• Series 99 highly preferred