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, 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 validation 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 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 procedures reviews and presentations to the staff.
• Technology and Systems Management Participate and implement departmental projects as well as coordinating and performing User Acceptance Testing.
• Partner with other operational groups to ensure consistency and understanding for downstream/upstream effect.
• Review processes and procedures to identify areas of improvement to mitigate risk, increase efficiency and ensure consistency to Advisors and Clients.
• Recognizes issues, problems, or opportunities and determines whether action is needed. Seeks the perspective of others and re-examines assumptions to creatively solve problems and generate solutions.
• Makes connections & offers creative recommendations on how to solve business challenges.

What Are We Looking For?

We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

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 to 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/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. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at View phone number on click.appcast.io.

EAC 5.19.26