Brokerage Operations – Associate Pod Analyst, Account Transfers
LPL Financial, Fort Mill, South Carolina, United States, 29715
What if you could
build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence.
What if you could
have access to cutting‑edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.
Job Overview The Account Transfers Department facilitates movement of cash and securities into and out of LPL client accounts. As an Associate Account Transfers Pod Analyst, you will play a direct role in helping our advisors execute financial plans for their clients by initiating, reconciling, and researching asset transfer requests. You will also be responsible for helping to shape the process, create efficiencies, and eliminate waste through our best‑in‑class continuous improvement system. An ideal candidate will have a strong background in brokerage/financial industry, familiarity with ACATs and Non‑ACATs, and a strong background in Lean Management System strategies.
Responsibilities
Assisting with servicing escalated issues and other complex activities that impact the Advisor experience.
Review and initiation of both paper and electronic asset transfer requests on behalf of our advisors.
Research and reconciliation of outstanding transfer requests to ensure asset delivery and balancing of books and records. This includes reconciliation of mutual fund shares between LPL, the contra party, and SS&C.
Effectively communicate verbal and written pertinent information to Financial Advisors and contra firms on the status of the transfer requests.
Regularly contribute to root cause problem solving sessions to continuously improve the Transfer process.
Perform quality control functions to ensure standard work is taking place.
Share pain points with leadership and business partners to find solutions and pursue process improvements.
Leverage Lean Management/Six Sigma strategies and tools to enhance workflows and unlock additional opportunities to increase scalability.
Act as a resource to the department and be able to apply complex knowledge of the overall transfer process for inquiries received from internal and external customers and vendors about the overall transfer process.
Support execution of projects and initiatives that support LPL’s priorities. This includes assisting with requirements, scripts, and UAT testing.
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 the Brokerage Operations, specifically Account Transfers/ACATs/Non‑ACATs or Bachelor’s degree in related field
3+ years experience leading teams and being a SME resource for your team, also experience working on internal projects
Core Competencies
Ability to analyze information and strong reporting skills.
Effective and proactive communicator with strong written and verbal communication skills in dealing with clients, stakeholders, and different levels of management.
Strong ability to multi‑task various functions and assignments with competing priorities, changing demands, and tight deadlines.
Demonstrates accuracy and thoroughness in performing work assignments.
Ability to develop positive working relationships and works well in a team setting.
Preferences
Experience in work environments that use lean management principles (LMS) that maximize value to customers and minimize waste.
Experience with Brokerage Clearing Platforms; BETA, Broadridge (statement reviews), Dynamics (cases), ATDB (account transfers database), Remit‑Pro (review check images).
Identify and assessing trends, being able to resolve issues as well as prevent issues from happening.
Service‑oriented in working with various groups such as clients, other firms, service team, offshore partners, and various business units within the company.
SIE or Series 7 preferred.
Pay Range $23.21-$38.69/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 www.lpl.com.
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.
For further information about LPL, please visit www.lpl.com.
Join LPL Financial Where Your Potential Meets Opportunity
Why LPL?
Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
Impactful Work: Our size is just right for you to make a real impact. Learn more here!
Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
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 (855) 575-6947.
EAC12.9.25
#J-18808-Ljbffr
build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence.
What if you could
have access to cutting‑edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.
Job Overview The Account Transfers Department facilitates movement of cash and securities into and out of LPL client accounts. As an Associate Account Transfers Pod Analyst, you will play a direct role in helping our advisors execute financial plans for their clients by initiating, reconciling, and researching asset transfer requests. You will also be responsible for helping to shape the process, create efficiencies, and eliminate waste through our best‑in‑class continuous improvement system. An ideal candidate will have a strong background in brokerage/financial industry, familiarity with ACATs and Non‑ACATs, and a strong background in Lean Management System strategies.
Responsibilities
Assisting with servicing escalated issues and other complex activities that impact the Advisor experience.
Review and initiation of both paper and electronic asset transfer requests on behalf of our advisors.
Research and reconciliation of outstanding transfer requests to ensure asset delivery and balancing of books and records. This includes reconciliation of mutual fund shares between LPL, the contra party, and SS&C.
Effectively communicate verbal and written pertinent information to Financial Advisors and contra firms on the status of the transfer requests.
Regularly contribute to root cause problem solving sessions to continuously improve the Transfer process.
Perform quality control functions to ensure standard work is taking place.
Share pain points with leadership and business partners to find solutions and pursue process improvements.
Leverage Lean Management/Six Sigma strategies and tools to enhance workflows and unlock additional opportunities to increase scalability.
Act as a resource to the department and be able to apply complex knowledge of the overall transfer process for inquiries received from internal and external customers and vendors about the overall transfer process.
Support execution of projects and initiatives that support LPL’s priorities. This includes assisting with requirements, scripts, and UAT testing.
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 the Brokerage Operations, specifically Account Transfers/ACATs/Non‑ACATs or Bachelor’s degree in related field
3+ years experience leading teams and being a SME resource for your team, also experience working on internal projects
Core Competencies
Ability to analyze information and strong reporting skills.
Effective and proactive communicator with strong written and verbal communication skills in dealing with clients, stakeholders, and different levels of management.
Strong ability to multi‑task various functions and assignments with competing priorities, changing demands, and tight deadlines.
Demonstrates accuracy and thoroughness in performing work assignments.
Ability to develop positive working relationships and works well in a team setting.
Preferences
Experience in work environments that use lean management principles (LMS) that maximize value to customers and minimize waste.
Experience with Brokerage Clearing Platforms; BETA, Broadridge (statement reviews), Dynamics (cases), ATDB (account transfers database), Remit‑Pro (review check images).
Identify and assessing trends, being able to resolve issues as well as prevent issues from happening.
Service‑oriented in working with various groups such as clients, other firms, service team, offshore partners, and various business units within the company.
SIE or Series 7 preferred.
Pay Range $23.21-$38.69/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 www.lpl.com.
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.
For further information about LPL, please visit www.lpl.com.
Join LPL Financial Where Your Potential Meets Opportunity
Why LPL?
Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
Impactful Work: Our size is just right for you to make a real impact. Learn more here!
Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
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 (855) 575-6947.
EAC12.9.25
#J-18808-Ljbffr