Position Description
Transition Consultant
Branch Office Development
Position Overview:
The primary responsibility for this position is to provide consultative services to new SAI
Representatives and to ensure a smooth and efficient transition of business. Additional
responsibilities include: conducting on-site meetings with new Representatives; organizing the
transition process; discussing current business methods and ways to grow the practice; providing
training on SAI technology products and services; and serving as the primary point of contact for
the Representative throughout the transition process.
Position Requirements:
 Bachelor's degree in Finance or other business related field or equivalent professional
experience
 Two to three years securities experience required
 1 year Securities America experience strongly preferred
 Series 7 and 24 securities licenses preferred
 Ability to conduct training sessions for Representatives and office staff
 Ability to clearly and concisely explain complex information
 Ability to determine appropriate plan of action for each unique transition
 Ability to consult, collaborate, and provide recommendations
 Ability to communicate and project a positive, professional attitude with co-workers,
customers, and various business contacts in person and over the telephone
 Ability to persuasively present the benefits of Securities America and the transition process to
convert a lead into a Representative during home office visits & tech demonstrations.
 Ability to develop professional relationships and maintain confidentiality
 Ability to investigate, research, and resolve problems
 Ability to organize, prioritize, and handle multiple tasks
 Ability to pay close attention to detail
 Ability to travel up to 25% of the time
 Ability to continually stay updated with new information
 Ability to work flexible hours (may require evening and weekends)
 Ability to be at work on a regular and predictable basis
 Knowledge of the securities industry, terminology, practices, and independent broker-dealer
market
 Knowledge of SAI’s technology products and services
 Knowledge of the various SAI departments involved in the Recruit On Boarding process
 Knowledge of SAI & SAA paperwork, procedures, and compliance requirements
 Skill in operating various office equipment and software programs (i.e. Microsoft Office)
 Strong verbal and written communications skills
January 31, 2013
Consultant – Transition
Position Duties/Tasks:
This position is responsible for, but not limited to the following:
1. Conduct on-site consultation meetings with new SAI Representatives and develop a plan for
the smooth, efficient transition of business
 Discuss and explain conversion process and set expectations including timelines for
various steps and ongoing communications.
 Work with Representative to identify accounts that require the completion of various
transition paperwork such as New Account Forms, Customer Account Transfers, Change
of Dealers, Block Transfers, Fee-based, Licensing/Appointments and any other additional
documentation.
 Answer questions or concerns related to the transition process and provide immediate
consultative guidance.
 Proactively identify issues that Representatives may encounter during transition
(compliance regulations and procedures, licensing requirements, client communications,
etc.).
2. Consult with new Representatives regarding current business model.
 Discuss coordination with SAA regarding conversion to fee based services
 Recommend alternative business methods in accordance with our Practice Management
tools
 Communicate and explain the various Business Growth programs that could help grow
the business
3. Conduct initial technical training sessions for new Representatives in-person or via telephone.
4. Coordinate electronic completion of new account and transfer paperwork and identify any
problems or issues.
5. Review paperwork issues with the Transition office
 Contact new Representative and/or office staff to discuss non-conforming paperwork and
explain correct completion
 Coordinate with operational and service departments to monitor progress of transition
and ensure adherence to established timeline.
 Track and follow-up on licensing and insurance appointments
6. Provide on-going consultative guidance to new Representative throughout the transition
process ensuring that questions are answered, paperwork is received, and the process
continues smoothly and in a timely manner.
7. Perform various duties and projects as assigned by manager.
8. Network & host receptions for transition Representatives
 Orientations
 Professional Associates University
 On-site Training sessions
9. Perform other duties as assigned.
January 31, 2013
Consultant – Transition
FLSA: Exempt
PHYSICAL REQUIREMENTS
Seeing:
Must be able to read
reports and use computer.
Hearing:
Must be able to hear
well enough to communicate
with co-workers and customers
Standing/Walking:
Climbing/Stooping/Kneeling:
Lifting/Pulling/Pushing:
Hand Dexterity:
Must be able to write, type,
and use phone system.
0-24%
25-49%
50-74%
75-100%
X
X
X
X
X
X
Note: The statements herein are intended to describe the general nature and level of work being performed
by employees, and are not to be construed as an exhaustive list of responsibilities, duties and skills required
of personnel so classified. Furthermore, they do not establish a contract for employment and are subject to
change at the discretion of the employer.
January 31, 2013
Consultant – Transition