MassMutual

Advisor Transition Support Specialist

MassMutual

full-time

Posted on:

Location Type: Hybrid

Location: Springfield • Massachusetts • United States

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Salary

💰 $61,400 - $77,300 per year

About the role

  • Serve as subject matter expert on broker-dealer policies and procedures for external representatives transitioning to the MassMutual platform.
  • Handle all new account opening for the advisor; process client data into back office systems with a high level of accuracy.
  • Ownership of tracking and monitoring ACAT transfers post new account opening.
  • Routinely identify cases that are not in good order and work with appropriate parties to find resolution timely.
  • Ability to research and resolve transition issues as needed.
  • Solid understanding of broker-dealer operations and account opening procedures for direct, brokerage and advisory products.

Requirements

  • High School Diploma
  • 2+ years' experience in the financial services industry
  • 2+ years' experience in broker-dealer operations
  • Ability to pass a non-registered fingerprint background check to qualify as a fingerprinted person under FINRA
  • Bachelor's Degree (Ideal Qualification)
  • Experience managing the transition of an advisor’s book of business between broker-dealers
  • Knowledge and understanding of FINRA / SEC rules and regulations
  • Strong organizational savviness and ability to navigate complex situations
  • Exceptional customer service skills and ability to deliver high quality results on time
  • Excellent data entry skills with a high level of accuracy
  • Ability to manage multiple priorities in fast-paced and time sensitive environment and adhere to strict deadlines
Benefits
  • Regular meetings with the WM Transition Support Team
  • Focused one-on-one meetings with your manager
  • Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQIA+, veteran and disability-focused Business Resource Groups
  • Access to learning content on Degreed and other informational platforms

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
data entryaccount opening proceduresACAT transfersbroker-dealer operationstransition managementclient data processingfinancial services experienceaccuracy in processing
Soft skills
organizational skillscustomer serviceproblem-solvingability to manage multiple prioritiestime managementattention to detail
Certifications
High School DiplomaBachelor's DegreeFINRA fingerprint background check