Analyst, Account Transfers

Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting‑edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals. Job Overview The Account Transfers team is responsible for facilitating all securities movement into and out of the firm. The ideal candidate will have an understanding of data analysis, project management, and reporting tools and technology in general to effectively analyze business requirements, track project status, and translate business needs into technical requirements. The candidate will also need strong interpersonal, organizational and communication skills (written and verbal) to be effective in the role. Responsibilities Analytical skills to review exceptions and perform reconciliation to ensure compliance with corporate and regulatory policies and procedures. Reconcile, process, and validate reports on a daily basis. Provide regulatory and risk oversight on processes and guidance for complex issues that arise in daily tasks. Reconcile mutual fund transfers facilitated through the ACAT system. Respond to service requests that are created by Service360 teams, General Service Center, and CCS Service Center. Develop risk‑based mitigation approaches that may yield changes to functions and departmental requirements. Understand and interpret rule modifications in an ever‑changing regulatory environment, and understand the business needs of LPL, our advisors, and other departments. Risk Management – responsible for daily Account Transfers reconciliations, managing error rates, exception review processing and daily reporting. Other duties could also include policy and procedure reviews and presentations to staff. Technology and Systems Management – participate in and implement departmental projects as well as coordinate and perform User Acceptance Testing. Partner with other operational groups to ensure consistency and understanding for downstream/upstream effects. Review processes and procedures to identify areas of improvement to mitigate risk, increase efficiency and ensure consistency to Advisors and Clients. Recognize issues, problems, or opportunities and determine whether action is needed. Seek the perspective of others and re‑examine assumptions to creatively solve problems and generate solutions. Makes connections and offers creative recommendations on how to solve business challenges. Requirements 3+ years experience in Brokerage Operations, specifically Account Transfers/ACATs. Core Competencies Ability to work independently in a fast‑paced environment with multiple priorities. Ability to work with and communicate effectively with various levels throughout the organization. Ability to learn multiple aspects of the Financial Services industry and understand how it all connects. Excellent verbal and written communication skills. Preferences Proficiency in Alteryx and Microsoft applications (Excel, Access, etc.). Experience with implementation and adherence of Lean Management principles. Experience with Brokerage Clearing Platforms: BetaNXT, FISPhase3, Broadridge. SIE or Series 7 preferred. Effective oral/written communication, adaptability, initiative, decision making, customer service, passion for results, ability to operate with minimal to no supervision. Pay Range $26.10–$43.53 per hour. Actual base salary varies based on factors, including but not limited to relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. LPL Total Rewards package is highly competitive, designed to support your success at work, at home and at play – including 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off and more. Principals only. EOE. EAC 5.19.26 #J-18808-Ljbffr LPL Financial