Transfer In Team Leader

Job Description:

AssetMark is a leading strategic provider of innovative investment and consulting solutions serving independent financial advisors. We provide investment, relationship, and practice management solutions that advisors use in helping clients achieve wealth, independence, and purpose.

The Job/What You'll Do:

The Transfer In Leader is a pivotal role within AssetMark, responsible for spearheading the Transfer In function. This role involves leading a dynamic team focused on the seamless initiation, allocation, cost basis, reconciliation, and overall success of incoming transfers. The Transfer In Leader will ensure the end-to-end ownership of the Transfer In process, working closely with a team of analysts, coordinators, and specialists. This leader will play a vital role in optimizing processes, fostering a culture of continuous improvement, and driving operational excellence in Transfer In Functions. Collaboration with the Transfer Out Leader is crucial to maximizing synergies between the two processes and creating a Center of Excellence for Transfers.

We can consider candidates for this position who are able to accommodate a hybrid work schedule and are close to one of our following offices: Phoenix, AZ.

Responsibilities:

• Total ownership and oversight of the entire end-to-end client experience for transfers in – ensuring the client experience from initiation to completion is the best in the industry.
• Oversee and execute all Transfer In Functions, including Ad Hoc Transfer Initial Work Review, Transfer In Initiation, Follow-Up, Allocation, Cost Basis, Reconciliation, and NIGO Resolution.
• Energize and motivate the team to reach team and personal goals - accelerate employee development, career progression, and team engagement.
• Use Process Excellence tools to drive operational efficiency, productivity, and overall team performance.
• Collaborate with the Transfer Out Leader to identify and implement synergies between Transfer In and Transfer Out processes.
• Evaluate current processes, proactively identify trends, and implement enhancements to streamline and improve processes.
• Ensure adherence to regulatory policies and operating procedures in Transfer In functions.
• Collaborate with vendors to address and resolve issues related to Transfer In processes.
• Track and present Transfer In metrics, including service level agreements, quality control accuracy, NIGO rates, cycle time, and customer experience cases.
• Deliver firm requirements repository (contra firm log) and ensure synchronization with relevant systems.
• Prepare executive-level reports, recommendations, and alternatives related to Transfer In functions.

Knowledge, Skills & Abilities:

• Ability to engage others
• Ability to operate as a change agent
• Strong track record of high-quality execution and collaboration
• Experience working cross-functionally to execute to meet the needs of customers
• High attention to detail and excellent written and verbal communication skills
• Expertise in Transfers, Operational Audits, and Investment Industry Reporting.
• Ability to work collaboratively, prioritize, manage, and identify risks.
• Energetic with the ability to motivate and inspire others.
• Skilled in data analysis, interpretation, reporting, and communication.
• 3-5 years of experience in Brokerage/Trust/Securities Operations/Asset Transfers.
• Cross-functional process knowledge and analytical decision-making skills.
• Excellent communication skills, customer service orientation, results-oriented, time management, and ownership of issues.

Education & Experience:

• Bachelor’s degree or equivalent work experience
• Minimum of 3 years of industry or Transfer experience

Compensation: The Base Salary range for this position is between $75,000-$85,000.

This information reflects a base salary range that AssetMark reasonably expects to pay for the position based on a number of factors which may include job-related knowledge, skills, education, experience, and actual work location. This position will also be eligible for additional variable incentive compensation and competitive benefits.

Candidates must be legally authorized to work in the US to be considered. We are unable to provide visa sponsorship for this position.

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Who We Are & What We Offer:

AssetMark’s mission is centered around helping financial advisors make a difference in the lives of their clients. To help them do that, we aim to provide advisors with holistic support. We offer compelling technology that facilitates a better client experience, consulting services that ensure advisors’ businesses are running at their best and a comprehensive suite of investment solutions. AssetMark’s platform empowers advisors to provide the highest level of service possible to their clients.

AssetMark’s culture is driven by our mission and connected by our values; Heart, Integrity, Excellence and Respect. You will join a team that lives these values every day by doing the best and what is right in all we do and encouraging different ideas for continual success and innovation. Additionally, we offer a wide range of benefits to meet the needs of our team members and their families.

• Flex Time Off or Paid Time/Sick Time Off
• 401K – 6% Employer Match
• Medical, Dental, Vision – HDHP or PPO
• HSA – Employer contribution (HDHP only)
• Volunteer Time Off
• Career Development / Recognition
• Fitness Reimbursement
• Hybrid Work Schedule

As an Equal Opportunity Employer, AssetMark is committed to building a diverse and inclusive workplace where everyone feels valued.