Financial Professional Onboarding & Transition Manager

Job Description:

The Financial Professional Onboarding & Transition Manager (FPOTM) will have a solid understating of the financial services industry, brokerage operations, along with proven success with operating in a dynamic fast-paced environment. Outstanding customer services and effective communication skills are essential. The FPOTM will develop and maintain essential relationships by acting as the primary point of contact and key business partner for prospects joining 1847Financial. The FPOTM will be responsible for managing and consulting on all onboarding and integration aspects with individual prospects and large groups. The FPOTM be responsible for supporting the Financial Professional (FP) recruitment process by developing a comprehensive strategy to monitor the FP recruitment pipeline, ensuring FP's are in good standing prior to contracting, and developing and administering a seamless transition strategy to onboard new FP's to Penn Mutual and HTK to provide a best in class experience.

We’ve embraced a flexible, hybrid approach to work. Based on your role and personal preference, we empower you to choose where you work best. This model allows you to balance your life and bring your whole self to work.

Responsibilities

• Strategic Planning and Execution. Create a customized onboarding plan outlining the applicable tasks, ownership and expected dates of completion. Manage accountability of task assignments and targeted completion dates. Utilize internal resources to ensure onboarding milestones are completed and discussed to meet the FP’s expectations. Create conversion plan for FPs.
• Business Analysis. Conduct an in-depth FP profile and analysis of the current and project business model. Identify action items and resources and make recommendation to the FP. Use discretion in coordinating communication with other business partners to identify investment opportunities for the FP.
• Regulatory Compliance. Review FP office setup and structure and review best practices. Coordinate time to ensure the FP understands any contractual requirements and potential regulatory S-P issues. Provide clear on compliance.
• Marketing Analysis and Planning. Partner with HTK to evaluate client-facing correspondence, make recommendation for a plan and ensure all marketing materials have been submitted for review and approval.
• Business Partnership. Facilitate communication and coordination between departments to ensure smooth FP integration. Proactively engage in the recruiting process by working closely with Managing Principal and HTK to ensure clear communication of commitments and set expectations. Create and represent in Home Office visits in an effort to win new business.
• Conduct low risk compliance reviews and facilitate discussions with prospects in the event additional items are required to complete approval for affiliation.
• Facilitate the OBA review process by reaching out to the FP to gather all required information to prepare and sent to business partners.
• Work closely with internal departments involved in the onboarding process to ensure seamless handoffs are made for the FP and ensure proper resource allocation to support onboarding.
• Facilitate training of all internal resources including HTK forms and business process, ACE, Insight, Gateway, Product, etc.
• Develop and own the FP recruiting approval process.
• Administer all aspects of recruitment due diligence: product, technology, outside business activity (OBA) review and low risk compliance review.
• Develop and administer the FP recruiting pipeline reporting process.
• In conjunction with the HTK Transitions Team, develop a comprehensive transition strategy and process that focuses on a smooth and timely transition for new FP’s.
• Manage the transitions process to ensure completion of all tasks by targeted completion dates.
• Review FP office setups and structures and review best practices.
• Review contractual requirements and potential Reg S-P issues with FP’s.
• Partner with marketing regulatory review to evaluate client facing correspondence to ensure all materials have been submitted for review and approval.

Skills and Abilities

• Excellent relationship building with prospective FP’s and across the organization.
• Proven project management skills and the ability to work in a fast-paced, deadline driven environment.
• The ability to work independently with minimal direction.
• Excellent problem solving skills.
• Strong oral and written communication skills.
• Team orientation and the ability to work in a collaborative environment.
• Process improvement experience and the ability to create efficient systems and processes.
• Strong knowledge of FP contracting.

Education

• Bachel