Commonwealth Financial Network

  • Transition Operations Specialist

    Job Locations US-CA-San Diego
    Job ID
    SD-2018
    # of Openings
    1
    Category
    Field Development & Transition
    Type
    Full-Time
  • Overview

    Commonwealth Financial Network® is the largest privately held Registered Investment Adviser–independent broker/dealer in the U.S., with offices in Waltham, Massachusetts, and San Diego, California. Since 1979, we’ve been helping our field force of independent financial professionals help investors pursue their financial goals. We do that by providing them with the technology, research, resources, and support that allow them to keep their focus on what’s most important: investors and their financial objectives.

     

    With that said, we are not your typical financial services firm. For starters, we’re a fast-growing company, and we think and have fun like a start-up. Conveniently located in the heart of downtown San Diego at the intersection of First and A streets, our office is a short walk to the COASTER, a few blocks from the entrance to both the 5 and the 163, and close to the 94.

     

    Commonwealth recognizes that our people are our greatest asset by investing in training and professional development. As a result, Commonwealth has been recognized 38 times (and counting) as one of the Best Places to Work by top publications in the region (Boston Globe, Boston Business Journal, San Diego Business Journal, San Diego Union-Tribune), as well as in the IT industry (Computerworld). With high marks in areas such as work environment, work/life balance, job satisfaction, and opportunities for advancement, Commonwealth is a place where you can thrive.

     

    Discover what it’s like to be psyched to come to work every day! We offer you:

     

    • Generous bonus and stock option incentive plans
    • Use of our chairman’s vacation properties (Las Vegas, Park City, Key Biscayne, New England, the Bahamas, and the Dominican Republic) at no cost
    • Fully paid maternity leave (12 weeks) and spousal leave (3 weeks)
    • A more relaxed, “dress for your day” dress code
    • Discounted athletic and swim club memberships
    • Ample opportunity to volunteer with and support local charities
    • A VTO (volunteer time off) day to use toward a cause that’s important to you
    • Tuition reimbursement
    • Free breakfast on Fridays
    • A competitive benefits package—and much more

    About the Opportunity

    When a financial advisor decides to change broker/dealers and move to Commonwealth, the Transition team is responsible for ensuring that the entire process runs smoothly. As the face of Commonwealth, we are in the business of making great first impressions that lead to lasting relationships.
     
    To accomplish this goal, we put a dedicated Transition team—a coordinator, operations specialist, and assistant—together to work with the new advisor’s office throughout the transition period. Together, the Transition team provides all the support and training an advisor needs to move his or her book of business to Commonwealth. The team answers any questions and acts as a liaison between the advisor’s office and Commonwealth’s other departments.
     
    We pride ourselves on providing indispensable customer service to all of our advisor offices and do whatever it takes to answer questions, resolve problems, and maintain great relationships. One thing you will often hear us say is, “If we don’t know the answer to your question, we will get you to the right person who does.”
     
    To help us uphold this legacy of great first impressions and indispensable service, we are looking for someone who is outgoing, positive, detailed, self-motivated, and fun to join us. Think you have what it takes? Then let’s introduce ourselves.

    Responsibilities

    • Serving as the primary contact for new advisors regarding all operations-related questions or issues
    • Providing comprehensive education to advisor offices on Commonwealth systems (over the phone and in person), including best practices, processes, and procedures
    • Working closely with teammates and other departments to facilitate the smooth and successful transition of an advisor’s book of business
    • Promptly and accurately responding to inquiries from advisors, staff, and coworkers
    • Prioritizing and completing a variety of tasks each day
    • Co-conducting presentations on the transition process to prospective advisors during home office visits
    • Traveling to new offices to assist in creating office efficiencies and providing hands-on training during the first 3–5 months of transition
    • Managing and leading departmental projects, as needed

    Qualifications

    • 1–2 years of experience in the securities or insurance industry
    • Exemplary customer service and phone skills
    • Strong technical skills in Excel, Word, and database tools
    • Strong team player
    • First-rate problem-solving ability
    • Excellent attention to detail
    • Self-motivated, with the ability to seamlessly move from one task to another
    • Strong communication skills, both verbal and written
    • Presentation experience
    • Flexible and patient demeanor
    • Comfortable in a fast-paced, dynamic environment
    • FINRA Series 7 securities registration preferred
    • Willingness to travel up to 30 percent of time

    Summary

    Have we piqued your curiosity? Can you see yourself thriving in this career opportunity, as well as our Anything but Common® workplace culture? If so—and if your background and experience align with our needs—please submit your application right away.

     

    Commonwealth Financial Network® is an equal opportunity employer that is committed to a diverse workforce.

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