Account Transfers Specialist - Lean Ops & Impact

LPL Financial; Tempe (AZ); On-site; USD 32,000 - 52,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial is seeking an Associate Pod Analyst for Account Transfers in Tempe. You will initiate, reconcile, and research asset transfer requests, supporting advisors in executing financial plans.

The role focuses on improving transfer processes using Lean principles and strong brokerage knowledge. Ideal candidates have 3+ years in brokerage operations, familiarity with ACATs/Non-ACATs, and Lean/Six Sigma experience.

Qualifications

• 3+ years in Brokerage Operations or related field.
• 3+ years leading teams and serving as SME for team.
• SIE or Series 7 preferred.
• Familiarity with ACATs and Non-ACATs is a plus.

Responsibilities

• Assist with servicing escalated issues impacting Advisor experience.
• Review and initiate asset transfer requests (paper and electronic).
• Research and reconcile transfer requests to ensure asset delivery and balance books.
• Communicate status to Financial Advisors and contra firms.
• Participate in root cause problem solving to improve transfer processes.
• Perform quality control to ensure standard work.
• Identify pain points and drive process improvements.
• Leverage Lean/Six Sigma to optimize workflows and scalability.
• Provide complex knowledge of transfer process for inquiries.
• Support projects, requirements, scripts, and UAT testing.

Skills

Brokerage operations

ACATs/Non-ACATs

Lean management

SIE or Series 7

Team leadership

Communication

Root cause analysis

Education

Bachelor’s degree in related field

Tools

Broadridge

ATDB

Remit-Pro

Dynamics

BETA

Job description

LPL Financial is seeking an Associate Pod Analyst for Account Transfers in Tempe. You will initiate, reconcile, and research asset transfer requests, supporting advisors in executing financial plans.

The role focuses on improving transfer processes using Lean principles and strong brokerage knowledge. Ideal candidates have 3+ years in brokerage operations, familiarity with ACATs/Non-ACATs, and Lean/Six Sigma experience.