D.A. Davidson

D.A. Davidson

Director of Transitions

Seattle, WA · Director

Sponsorship not specified$125k-$145kDetected 48 days ago
Process ImprovementLeadershipCommunicationMentoringOrganizational Skills

About the role

  • The Director of Transitions leads the strategy and design of the Financial Advisor transition experience at D.A. Davidson. This role is responsible for building a scalable, compliant, and client-focused transition program that supports experienced advisors joining the firm and ensures a high-quality experience for their clients.
  • This opportunity is ideal for an experienced FA transitions professional who enjoys shaping programs, setting standards, and partnering across the business to deliver consistent, high-trust outcomes. The Director works closely with a dedicated Transition Manager who leads day-to-day execution, staffing, and advisor planning calls.
  • The Director of Transitions leads the strategy and design of the Financial Advisor transition experience at D.A. Davidson.

Responsibilities

  • Establish and maintain standardized transition policies, procedures, and frameworks that promote consistency and regulatory compliance.
  • Partner with Compliance, Legal, Supervision, Operations, Technology, Recruiting, and Advisor Solutions to translate requirements into practical transition standards.
  • Design and evolve the transition operating model, tools, disclosures, and documentation to support scale and continuous improvement.
  • Identify and implement opportunities to enhance the advisor and client experience through process improvement and thoughtful use of technology.
  • Act as a strategic advisor to the Transition Manager, offering direction, mentorship, and escalation support when needed.
  • Proven ability to design and manage programs, policies, and standards rather than day-to-day transaction processing.
  • At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees.

Requirements

  • Five or more years experience with Financial Advisor transitions within a wealth management, broker-dealer, or RIA environment.
  • Strong understanding of transition-related regulatory and supervisory requirements, including FINRA, SEC, Reg BI, DOL, and client privacy considerations.
  • Ability to navigate sensitive conversations with confidence, empathy, and firmness when advisor, client, or firm interests are at risk.
  • High degree of integrity, emotional intelligence, and professional maturity, especially when serving as an escalation point on matters impacting advisor practices, client relationships, or firm reputation.
  • Ability to travel as needed (approximately 10-15%).

Nice to have

  • Series 9/10 preferred.
  • FINRA Series 7/66 or 63/65 required

Compensation

  • The potential base pay hiring range for this role is $125,000 to $145,000 annually.

Benefits

  • Competitive salary plus excellent benefits and perks including, but not limited to:
  • Medical, Dental and Vision
  • Company 401(k)and ESOP contribution
  • Generous sick, vacation, and maternity/parental leave
  • Tuition Reimbursement ($15,000 lifetime cap)
  • We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status.

Company info

  • What We're Looking For

Equal opportunity

  • We are an equal opportunity employer and value diversity at our company.
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