Succession Operations Specialist

Job Description
Uses knowledge and skills obtained through education and experience to support the process of business succession plan implementation for financial advisors and branch owners. Work independently with direct supervision in support of Succession & Acquisition Consultants to assist financial advisors in the succession and teaming process. Follows established procedures to perform routine tasks and receives general guidance and direction to perform other work.

Some originality and ingenuity are required to select and apply appropriate procedures, processes and techniques to assignments that are broad in nature. Resolves most questions and problems and refers new or unusual issues to a higher level. May serve as a resource to others in resolving problems and issues.

• Serves as a central point of liaison with other functional areas and external stakeholders in resolving a variety of routine matters.
• Assists branch owners and financial advisors with the establishment of successful business continuity, processes incoming catastrophic agreements and succession plans; coordinates the preparation and internal documentation of catastrophic and long-term succession plans for financial advisors.
• Thoroughly understands and communicates the process and guidelines for business succession planning.
• Drafts, reviews, processes and records succession and purchase agreements.
• Resolves inquiries from Financial Advisors and internal support areas within the firm.
• Provides and/or oversees support activities for a manager or group of managers, including answering telephones; assisting and resolving problems and inquiries of visitors; reviewing and controlling incoming and outgoing correspondence; and following up on operational commitments.
• Schedules and coordinates webinars, meetings, events, and/or travel arrangements, as required.
• Spearhead campaigns to collect catastrophic agreements as needed.
• Establishes, updates and maintains files, inventories and records and implements and maintains data management systems, as required.
• Act as closing specialist for succession cases, such as setting up split FA numbers, moving accounts, ensuring documentation is complete, logging and updating cases in CRM and Salesforce, submitting requests to process payments, performing quality assurance, etc.
• Performs duties in a highly professional manner to address and resolve conflicts or issues that arise in any and all succession consulting or other engagements with branch owners to facilitating a positive working relationship between the field and home office.
• Stays current with securities industry trends and regulations.
• Performs other duties and responsibilities as assigned.

Job Description

Uses knowledge and skills obtained through education and experience to support the process of business succession plan implementation for financial advisors and branch owners. Work independently with direct supervision in support of Succession & Acquisition Consultants to assist financial advisors in the succession and teaming process. Follows established procedures to perform routine tasks and receives general guidance and direction to perform other work.

Some originality and ingenuity are required to select and apply appropriate procedures, processes and techniques to assignments that are broad in nature. Resolves most questions and problems and refers new or unusual issues to a higher level. May serve as a resource to others in resolving problems and issues.

• Serves as a central point of liaison with other functional areas and external stakeholders in resolving a variety of routine matters.
• Assists branch owners and financial advisors with the establishment of successful business continuity, processes incoming catastrophic agreements and succession plans; coordinates the preparation and internal documentation of catastrophic and long-term succession plans for financial advisors.
• Thoroughly understands and communicates the process and guidelines for business succession planning.
• Drafts, reviews, processes and records succession and purchase agreements.
• Resolves inquiries from Financial Advisors and internal support areas within the firm.
• Provides and/or oversees support activities for a manager or group of managers, including answering telephones; assisting and resolving problems and inquiries of visitors; reviewing and controlling incoming and outgoing correspondence; and following up on operational commitments.
• Schedules and coordinates webinars, meetings, events, and/or travel arrangements, as required.
• Spearhead campaigns to collect catastrophic agreements as needed.
• Establishes, updates and maintains files, inventories and records and implements and maintains data management systems, as required.
• Act as closing specialist for succession cases, such as setting up split FA numbers, moving accounts, ensuring documentation is complete, logging and updating cases in CRM and Salesforce, submitting requests to…