ACAT Transfer Operations Analyst – Drive Efficiency

lplfinancial

Fort Mill (SC)

On-site

USD 32,000 - 54,000

Full time

4 days ago

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Job summary

LPL Financial in Fort Mill, SC is seeking an Associate Account Transfers Pod Analyst to support asset transfer requests, initiate and reconcile transfers, and help advisors execute financial plans. The role emphasizes collaboration with Financial Advisors, escalation handling, and applying Lean/Six Sigma principles to streamline the transfer process and drive continuous improvement.

You will review paper and electronic transfers, communicate status to stakeholders, and help scale operations

Qualifications

3+ years experience in Brokerage Operations (Account Transfers/ACATs/Non-ACATs).
3+ years experience leading teams and serving as SME for projects.

Responsibilities

Assisting with escalated issues affecting Advisor experience.
Review and initiation of asset transfer requests (paper and electronic).
Research and reconciliation of transfer requests to ensure asset delivery and balance books.
Communicate status to Financial Advisors and counterparty firms.
Contribute to root cause analysis to improve the Transfer process.
Perform quality control to ensure standard work.
Identify pain points and pursue process improvements with leadership.
Apply Lean/Six Sigma strategies to enhance workflows.
Serve as a knowledge resource for internal/external inquiries about transfers.
Support projects, requirements, scripts, and UAT testing.