Transition Coordinator
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How will this role impact First Command?
The Financial Industry Regulatory Authority (FINRA) oversees the people and firms that sell stocks, bonds, mutual funds and other securities. FINRA Rule 3110(e), Responsibility of Members to Investigate Applicants for Registration, requires First Command to obtain certain information on an applicant to make an evaluation prior to hiring them. This Rule is designed to mitigate client, industry and company reputation risks.
The Transition Coordinator, assists by preparing files so that the Transition Specialist can conduct highly regulated and structured background investigations on individuals applying for employment as a First Command Fast Start Advisors (FSA), Independent Contractor (IC), as well as on potential field staff hires; Licensed Associate (LA), Affiliated Financial Advisor (AFA), Office Manager (OM), Administration Assist (AA), Client Contact Specialist (CCS) and any other field facing roles requiring access to client information.
What will the employee do in this role?
- Prepares thorough background investigation packages according to the firm’s policies, applicable regulatory rules, laws, and procedural requirements utilizing online, telephonic, and third-party research
- Coordinates with key stakeholders on status of all candidates
- Conducts follow up on education and employment verification discrepancies
- Reviews Education and Employment verifications
- Follow up with vendor(s) regarding any discrepancies
- Contact candidates to collect documentation regarding discrepancies uncovered during education and employment verifications
- Ensures all Federal, State and Carrier hiring guidelines are in line with First Command’s investigation requirements and processes
- Assist in the gathering of files and documents during Regulatory investigations
- Continue to look for new and ever evolving search techniques, tips and guidelines while maintaining a baseline of established research protocol, assuring accurate and relative results
- Assist with notifications and revisions to individuals U4 when there is a known disclosable event
What skills & qualifications do you need?
Education
- Associate’s Degree
Work Experience
- 1 to 2 years clerical experience required
- 1 to 2 years of legal documentation review preferred
- Knowledge of consumer reports preferred
- Knowledge of federal (FINRA) and state (Insurance) requirements preferred
Required Knowledge, Skills and Abilities
- Outstanding written and verbal communication skills.
- Ability to use independent judgment and be entrusted with confidential information.
- Logical deductive reasoning
- Work independently with little direction
- Superior time management skills
- Meeting tight deadlines
- Ability to shift focus and engage in a fluid, dynamic work environment that requires adaptability
- Must thrive in a fast-paced, results-oriented and collaborative environment
- Strong attention to detail and accuracy
- Proficiency in navigating systems, databases, and specialized software
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©2025 First Command Financial Services, Inc. is the parent company of First Command Brokerage Services, Inc. (Member SIPC, FINRA), First Command Advisory Services, Inc., First Command Insurance Services, Inc. and First Command Bank. Securities products and brokerage services are provided by First Command Brokerage Services, Inc., a broker-dealer. Financial planning and investment advisory services are provided by First Command Advisory Services, Inc., an investment adviser. Insurance products and services are provided by First Command Insurance Services, Inc. Banking products and services are provided by First Command Bank (Member FDIC).
Investment and insurance products are not deposits, are not insured by the FDIC, and may lose value. A financial plan, by itself, cannot assure that retirement or other financial goals will be met.
First Command Financial Services, Inc. and its related entities are not affiliated with, authorized to sell or represent on behalf of or otherwise endorsed by any federal employee benefit program, the U.S. government, the U.S. Armed Forces or any other third-party mentioned on this site.
In the United Kingdom, investment and insurance products and services are offered through First Command Europe Ltd. First Command Europe Ltd. is a wholly owned subsidiary of First Command Financial Services, Inc. and is authorized and regulated by the Financial Conduct Authority. Certain products and services offered in the United States may not be available through First Command Europe Ltd.
SIPC - Securities Investor Protection Corporation
Securities Investor Protection Corporation