Analyst, Account Transfers

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 to effectively analyze business requirements, track project status, and translate business needs into technical requirements. The candidate will also need strong interpersonal, organization, 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. Reconcile mutual fund transfers facilitated through the ACAT system. Respond to service requests from 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, advisors, and other departments. Manage daily account transfers reconciliations, error rate monitoring, exception review processing, and reporting. Perform policy and procedures reviews and present to staff. Participate in departmental projects, coordinate and perform User Acceptance Testing, and partner with operational groups to ensure consistency across downstream/upstream processes. Review processes and procedures to identify areas of improvement to mitigate risk, increase efficiency and ensure consistency for advisors and clients. Recognize issues, problems, or opportunities and determine whether action is needed; seek others’ perspective and creatively solve problems. Qualifications & Core Competencies 3+ years experience in Brokerage Operations, specifically Account Transfers/ACATs. Ability to work independently in a fast-paced environment with multiple priorities. Ability to 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 to Lean Management principles. Experience with Brokerage Clearing Platforms: BetaNXT, FIS Phase 3, Broadridge SIE or Series 7 preferred. Effective oral/written communication, adaptability, initiative, decision making, customer service, passion for results, ability to operate with minimal supervision. Pay Range & Benefits Pay Range: $26.10-$43.53 per hour. Base salary varies based on relevant skill, prior experience, education, peer comparison, and geographic location. LPL Total Rewards package includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Equal Opportunity Employer EOE. #J-18808-Ljbffr LPL Financial