Associate, Transitions

Associate, Transitions

Title: Associate, Transitions
Experience: Mid-Level
Location: Tampa, FL
Job Function: Advisor Onboarding, Account Opening, Advisor Support
Employment Type: Full Time (40 hours a week)
Industry: Financial Services


Empowerment, innovation, energy and adaptability. These are not four words describing a generic job description. These words are key drivers embedded in the culture of Independent Financial Partners (IFP), a financial services firm based in Tampa, Florida.

If you’re looking for an exciting and rewarding step in your career, have the experience and skill-set outlined below, and are driven by a passion to do great work, help contribute to a culture of innovation and positive experience, and enjoy working with diverse team members, we want to hear from you. We are serious about finding the right talent and we take pride in making the application and on-boarding process as efficient as possible.

About IFP:

Independent Financial Partners (IFP) is a Broker Dealer, IFP Securities, LLC located in Tampa, Florida. IFP is a multi-custodial full-service Broker Dealer focused on delivering personalized, concierge-level service to our advisors nationwide who specialize in wealth management and retirement plan consulting.

Founded in 2000 by CEO William Hamm, Jr., CFA, CFP®, CLU®, IFP is a privately-held, family-owned firm, and our mission is to improve the lives of our advisors and their clients; we aim to provide the tools and support needed for our advisors to maintain and grow their practices, including forward thinking compliance services, the industry’s most innovative technology, multi-faceted back office support, and a commitment to continuously improving our value proposition.

IFP Employment Benefits:

  • 401K Matching Program
  • Comprehensive Health and Benefits Package
  • Competitive Compensation
  • Paid Time Off

Job Description:

The Transition Liaison will be responsible for assisting financial advisors during their initial transition to IFP and providing ongoing servicing support for advisors already affiliated with IFP. The candidate is responsible for learning and maintaining an in-depth knowledge of IFP, Pershing, Fidelity, TD Ameritrade, and Schwab Platforms, in addition to TPAMs and assorted financial products. This role will manage several multifaceted functions for new and current IFP advisors.

The Associate, Transitions role includes any combination of the following:

  • Managing the advisor onboarding and transition process
  • Assisting advisors where needed in accordance with FINRA, SEC, & state regulations
  • Helping advisors and administrative staff with the following:
  • Repapering transitioning accounts that include advisory, brokerage, and direct business
  • Monitoring account opening progress including ACATs and NIGO follow up
  • Understanding of applicable platform tools and training
  • Licensing and registration regulations, protocol & privacy regulations
  • Serving as a direct point of contact during the advisor’s transition
  • Conducting special projects and assignments at the direction of management
  • Maintaining data integrity on IFP’s CRM and Advisor Portals

This position is set-up to allow time during the Transition Liaison’s first 60 days to train with our current Transition Liaison team.

Desired Skills and Experience/Minimum Requirements:

  • Bachelor’s degree or equivalent industry experience
  • Series 7 and/or 66/65 license a plus
  • Strong oral and written communication skills
  • High attention to detail
  • Demonstrate comfort in a fast-paced & high-volume environment
  • Proficiency in Agreement Express, NetX360, Veo One, Wealthscape, and Schwab Institutional a plus
  • Adobe, Salesforce, MS Word, Excel, Outlook & PowerPoint Proficiency
  • Flexibility in schedule to support east and west coast time differences
  • High-touch, concierge level customer service skills
  • Project and team-oriented personality, Agile, adaptable, and willing to learn

Preferred Skills and Experience:

  • 2 years of customer service-related experience
  • 2 years of wire house or financial services related experience

Application Process:

TO BE CONSIDERED FOR AN INTERVIEW: Please tell us more about yourself with a cover letter along with your most recent resume.

Please email your resume and a cover letter in PDF format to: Karen Hamm, Chief Administrative Officer, at [email protected]