Account Transfers Analyst

Jobtailor; Arizona; On-site; USD 70,000 - 95,000; Full time

Job summary

Jobtailor in the United States seeks a Brokerage Operations professional to review exceptions, reconcile, and provide regulatory oversight for ACAT-related processes. The role requires strong analytical skills and the ability to communicate effectively across multiple levels.

You'll work in a fast-paced environment, manage daily reports, and interpret changing regulatory requirements to support the business and advisors.

Qualifications

• 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 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.

Responsibilities

• Review exceptions and reconcile to ensure compliance with corporate and regulatory policies.
• Reconcile, process, and validate reports on a daily basis.
• Provide regulatory and risk oversight on processes and guidance for complex issues that arise in daily tasks.
• Understand and interpret rule modifications in a changing regulatory environment and align with business needs.
• Seek perspectives and re-examine assumptions to creatively solve problems and generate solutions.

Skills

Analytical skills

Independent work

Verbal communication

Written communication

Regulatory compliance

Financial services knowledge

Account Transfers/ACATs

Job description

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
• Understand and interpret rule modifications in an ever changing regulatory environment, and understand the business needs of LPL, our advisors, and other departments
• Seek the perspective of others and re-examine assumptions to creatively solve problems and generate solutions

Requirements

• 3 + years experience in Brokerage Operations, specifically Account Transfers/ACATs
• 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

Core Competencies

Demonstrates strong analytical skills for exception review and reconciliation, ensuring compliance with corporate and regulatory policies. Possesses the ability to effectively communicate across various organizational levels while managing multiple priorities in a fast- paced brokerage operations environment.

Highest-signal resume keywords

• Brokerage Operations Experience
• Account Transfers/ACATs Expertise
• Regulatory Compliance Knowledge
• Analytical Skills
• Effective Communication

Hard Skills

• Reconciliation
• Report Validation
• Regulatory Oversight
• Problem Solving
• Financial Services Knowledge

Soft Skills

• Independence
• Creativity
• Collaboration
• Adaptability
• Verbal Communication

Industry Keywords

• Compliance
• Risk Management
• Brokerage
• Financial Services
• Regulatory Environment