Account Transfer Specialist

Park Capital Search has been retained by a growing clearing and broker-dealer firm to find an ACAT Analyst. This is a hybrid role based in the firm’s Salt Lake City, UT office. ACAT processing and transfer work are the main focus of the role. The firm wants a well-rounded broker-dealer operations professional who will also support other operational functions as business needs require. Key Responsibilities Process and monitor incoming and outgoing ACAT transfers Review transfer instructions for completeness and accuracy Resolve transfer exceptions, rejects, and discrepancies Coordinate with contra firms, custodians, clearing firms, and internal teams on transfer requests Monitor transfer timelines and ensure regulatory requirements are met Process non-ACAT asset transfers, journals, and related account movements Help representatives and clients with transfer questions Keep accurate records and documentation of transfer activity Take part in operational projects and process improvements Support other operations functions as needed Required Qualifications 3+ years of experience in brokerage operations, account transfers, or ACAT processing Strong understanding of ACAT processing and workflows, NSCC transfer procedures, brokerage account operations, securities transfers and asset movements, and regulations related to account transfers Strong attention to detail and organizational skills Ability to identify and resolve operational issues efficiently Advanced Excel and data management skills Excellent communication and client service skills Ability to work independently while managing multiple priorities Preferred Qualifications FINRA Series 7 strongly preferred; Series 63 and/or 99 a plus Experience with the FIS Phase 3 back-office system strongly preferred Experience with introducing broker-dealers and clearing firms Familiarity with new account processing, account maintenance, cashiering, and general brokerage operations Experience developing or maintaining operational procedures and workflows Ideal Candidate A broker-dealer operations professional with extensive ACAT transfer experience and a strong grasp of the operational and regulatory requirements behind account transfers. They are detail-oriented, proactive, and comfortable with a high-volume workload, and willing to support operational areas beyond transfers as the firm grows. #J-18808-Ljbffr Park Capital Search