Director, Transition Services

We love finance, software, and (believe it or not), taxes - that's why we love what we do! At Avantax, we celebrate our diverse experience and unique contributions and use our combined knowledge to blaze new trails in tax-focused investing. As individuals, we contribute valuable insight from our career history to achieve the Avantax mission. As a team, we work together to make a real impact and have a lot of fun along the way. Our collaborative work features decades of expertise in wealth management.

We bring our unique experiences together to form the heart of Avantax - working in unison toward the goal of creating services that make it easy for clients and professionals to pursue their financial and business goals. At Avantax, we are committed as a company and individuals to the diversity, equity and inclusion of our clients, team members and the communities in which we work.

Are you an innovative problem-solver who's eager to take on new challenges, collaborate with diverse team members and achieve excellence? If so, life at Avantax may be the opportunity for you.

Position Summary

Avantax Wealth Management, a subsidiary of Blucora and sister company to Avantax Planning Partners is seeking a Director, Transition Services that will be responsible for setting the strategic direction, leading a team of Transition Service Associates/Managers, and effectively delivering transition services for external and internal Firms/Financial Professionals (FP). The Director is the face of Avantax Transition activities and will be responsible for overseeing all operations of onboarding the Firm/FPs book of business, transition among/between Firms/FPs, compliance requirements, and managing a team of Transition Specialists and leader(s) that complete all relationship management and core processing tasks. The person in this role works independently on complex issues and projects while managing ongoing processing efforts in accordance with documented and communicated service levels.

Essential Duties & Responsibilities

The major responsibilities of the position are listed below. To perform the job successfully, the individual must be able to execute each essential duty satisfactorily. Reasonable accommodation may be made to enable individuals with disabilities to perform essential functions.

• Responsible for successfully leading a team to complete external, internal, and cross-company FP/Firm transitions.
• Lead employees using a performance management and development process that provides an overall context and framework to encourage employee contribution and includes goal setting, feedback, and performance development planning.
• Create an environment for employees to take responsibility for their jobs and goals. Delegate responsibilities and expect accountability and regular feedback.
• Provide influence and clear communication across cross-functional teams, functions, and business units to ensure alignment of initiatives or major changes.
• Coach, mentor and develop staff, including overseeing new employee onboarding and providing career development planning and opportunities as well as ensuring behaviors align with the One Blucora mindset.
• Influences overall objectives and long-range goals of the department.
• Responsibility and a keen awareness of department policy and procedures and participation in initiating the change of those policies when applicable.
• Focus on continuous improvement and developing best practices for core processes and procedures
• Partner with Client Services, Platform Consultants, Business Development, and Training/Onboarding Team to effectively onboard and support transitioning Firms/FPs.
• Create and implement reports, dashboards, and scorecards to monitor and report on progress (assets, service levels, etc.). Monitor department statistics regarding efficiency and make improvements to address service issues.
• Meet regularly with internal partners (Business Development, Client Services, Training, Succession Team, etc.) on updates regarding Transition Team effectiveness and identify areas that need to be improved.
• Drive pull-through and conversion/shift of assets to convert onto the Avantax platform that aligns with business objectives
• Ability to manage vendor relationships and ensure service expectations are met.
• Ability to lead associates and ensure timely processing in a high-stress/high-volume environment.
• Other job duties as assigned.

Education & Experience

• BA/BS in Business, Finance, or a related field is preferred.
• Series 7, 63/65, or 66 required.
• Minimum of 7 years of experience in Sales and Operational Processing within the financial services industry.
• Minimum of 5 years serving in a leadership capacity.
• Knowledge of Compliance and Supervisory rules as stated by FINRA, SEC, and firm policy.
• Results-oriented and proactive with the ability to balance multiple high-priority initiatives/projects concurrently and complete multiple tasks simultaneously to complete assigned projects within prescribed deadlines.
• Ability to cope with stressful situations and maintain a calm and professional demeanor.
• Ability to train and develop Transition Services team members toward becoming fully productive within the role.

Physical Demand & Work Effort

• Keying/typing, standing, walking.
• Sitting for an extended period.
• Constant mental and/or visual attention; the work is either repetitive or diversified requiring constant alertness in an office environment.
• The job is typically performed under comfortable working conditions; any disagreeable elements are generally absent during the normal performance of the job.
• Compliance with company attendance standards.

Comprehensive Benefits

We offer a competitive salary, outstanding benefits package that includes medical, dental, vision, life insurance, paid vacation and sick days, paid holidays, tuition reimbursement, and 401(k) with company match.

#Avantax

At Avantax®, we believe our work benefits from the diverse perspectives of our employees. As such, Avantax welcomes and celebrates diversity and inclusion and is committed to equal opportunity employment. At Avantax, you can expect a supportive, open, and inclusive atmosphere and a team that values your contributions.

Avantax and its business lines, Avantax Wealth Management® and Avantax Planning Partners℠ are committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants without regard to race, color, religion, sex, national origin, age, physical and mental disability, marital status, sexual orientation, gender identity, veteran status, and any other status protected under federal or state law.

Avantax considers information gathered in the hiring process, including information on this application, confidential, and only shares it on a need-to-know basis or as required by law.

If you need assistance or accommodation due to a disability, you may contact us at [email protected], or by calling 972-870-6000 to speak with a member of the HR Talent Acquisition team.