Financial Advisor Transition Specialist Jobs (NOW HIRING)

Docupace is seeking an Advisor Transition Specialist in the Greater Des Moines, Iowa area to support the successful implementation and delivery of our Advisor Transition solution. This role is ideal for a detail-oriented, client-focused professional who enjoys combining technology, problem-solving, and financial services. You’ll work closely with clients and internal teams to configure, test, troubleshoot, and support advisor transitions between Broker-Dealer firms and agencies, helping ensure a smooth and efficient transition experience.

Summary of Position:

Our Advisor Transition Specialist is central to our successful implementation of the Docupace Advisor Transition Product for financial advisors transferring between Broker-Dealer firms/agencies.? You will apply professional knowledge, skills, and training to contribute to business and technical definition, configuration, testing, enhancements, production support, table updates, and the implementation of IT business solutions. Strong proficiency in using Microsoft Excel Vlookup and Pivot Tables.

Essential Duties/Responsibilities:

• Assists in formulating and defining system scope and objectives through best practice research and fact-finding, combined with knowledge of applicable business systems and industry requirements.
• Responsible for planning, estimating, and tracking work deliverables.
• Works with others to develop and/or modify processes to resolve simple business problems by using IT solutions, including analysis of business and user needs, documenting business requirements, and translating business requirements into functional requirements.
• Supports design, build, and test planning phases for smaller scope enhancements and projects
• With direction, provides assistance in evaluating technology alternatives by performing requested data collection and/or analysis.
• Applies relevant new information technology products/services to business projects and analysis. Supports users, production activities, and training/ business procedural development.
• Perform system maintenance, including form updates, domain updates to meet client specifications, form data mapping, creating test scripts, and performing
• Documentation of supporting systems
• Technical and business specifications for statement of work
• Explain to clients how the process works, communicate the steps of the process, troubleshoot any issues, and resolve.

Minimum Education, Skills, and Experience:

• Bachelor’s Degree or equivalent experience in IT or business-related field
• 1-3 years of work experience
• Prior experience in the financial services industry, with direct exposure to both broker-dealer and RIA operations, especially recruiting and advisor onboarding
• Strong command of industry terminology (e.g., FINRA/SEC rules, disclosures, form requirements) and familiarity with core operational workflows
• Exceptional customer service skills, with the ability to communicate clearly and professionally both verbally and in writing to external clients in a fast-paced environment
• Proven client-facing communication with strong interpersonal and consulting skills, including the ability to build trust and confidence with all levels of employees, including senior executives.
• Proven experience demonstrating strong problem-solving skills, with a high degree of attention to detail.
• Proven skills and competency using Microsoft Excel, including advanced functions like Vlookup.
• Strong organizational skills with the ability to work independently and prioritize multiple tasks and priorities while meeting deadlines in a fast-paced environment.

Physical Demands and Working Conditions:

• Sit – Frequent
• Stand- Occasional
• Walk - Frequently
• Lift/Carry 0-20 pounds – Occasional
• Lift/Carry over 0-20 pounds - Occasional
• Kneel/crouch, bend, and /or stoop repeatedly - Occasional

Reasonable Accommodations:

Applicants and employees who require reasonable accommodation to complete the duties and responsibilities described above should notify Human Resources.

Disclaimer:

The preceding job description has been designed to indicate the general nature and essential duties and responsibilities of work performed by employees within this classification. It may not contain a comprehensive inventory of all duties, responsibilities, and qualifications required of employees to do this job. Additionally, this document is not an employment contract. The company reserves the right to modify job duties or job descriptions at any time.

Docupace is an Equal Opportunity Employer and Prohibits Discrimination and Harassment of any kind. We are committed to the principle of equal employment opportunity for all employees and to providing employees with a work environment free of discrimination and harassment.?All employment decisions at Docupace are based on business needs, job requirements and individual qualifications, without regard to age, race, color, religion or belief, gender, sexual orientation, family or parental status, or any other status protected by the laws or regulations in the locations where we operate.