Advisor Transitions Specialist

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Docupace

WebsiteLinkedInAll Job Openings

51 - 200 employees

Founded 2002

☁️ SaaS

💳 Fintech

🤝 B2B

💰 Private Equity Round - Docupace on 2020-04

SaaS • Fintech • B2B

Docupace is a technology company built for the wealth management industry. The company offers a comprehensive, customizable SaaS platform to digitize wealth management back-office operations and eliminate paperwork (founded/core mission referenced since 2002). The Docupace Platform provides document management, new account opening, compliance tools (ComplianceEdge, TRACKR), advisor transitions, compensation management, integrations with numerous wealthtech tools, and developer APIs; it also acquired jaccomo (jPass) in 2021 to add compliance, data integration, financial reporting, and advisor compensation accounting capabilities. The platform targets financial services firms and back-office teams, focusing on workflow automation, digital processing, security, and regulatory compliance.

📋 Description

• Support the successful implementation and delivery of Docupace’s Advisor Transition solution • Configure, test, troubleshoot, and support advisor transitions between Broker-Dealer firms and agencies • Contribute to business and technical definition, configuration, testing, enhancements, production support, table updates, and implementation of IT business solutions • Formulate and define system scope and objectives through research, fact-finding, and knowledge of business systems and industry requirements • Plan, estimate, and track work deliverables • Analyze business and user needs, document business requirements, and translate them into functional requirements • Support design, build, and test planning for smaller-scope enhancements and projects • Evaluate technology alternatives through requested data collection and analysis • Apply relevant new information technology products and services to business projects and analysis • Support users, production activities, and training/business procedural development • Perform system maintenance, including form updates, domain updates, form data mapping, test-script creation, and supporting-system documentation • Prepare technical and business specifications for statements of work • Explain processes to clients, communicate process steps, troubleshoot issues, and resolve problems

🎯 Requirements

• Bachelor’s Degree or equivalent experience in IT or a business-related field • 1–3 years of work experience • Prior financial-services industry experience with direct exposure to broker-dealer and RIA operations, especially recruiting and advisor onboarding • Strong command of industry terminology, including FINRA/SEC rules, disclosures, and form requirements • Familiarity with core operational workflows • Exceptional customer-service skills • Clear and professional verbal and written communication with external clients • Client-facing communication, interpersonal, and consulting skills • Ability to build trust and confidence with employees at all levels, including senior executives • Strong problem-solving skills and high attention to detail • Proficiency in Microsoft Excel, including advanced functions such as VLOOKUP and Pivot Tables • Strong organizational skills and ability to work independently • Ability to prioritize multiple tasks and meet deadlines in a fast-paced environment • Ability to perform the stated physical demands, including frequent sitting and walking and occasional standing, lifting/carrying, and kneeling/crouching/bending/stooping

🏖️ Benefits

• Reasonable accommodations for applicants and employees who require them • Equal employment opportunity and a work environment free of discrimination and harassment