Brokerage Operations - Associate Pod Analyst, Account Transfers

lplfinancial; Fort Mill (SC); On-site; USD 32,000 - 54,000; Full time

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.

Skills

Financial services knowledge

ACATs familiarity

Lean Management

Process improvement

Data analysis

Communication skills

Education

Bachelor's degree in related field

Job description

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 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:

$23.22-$38.67/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(6) , LPL supports over 32,000 financial advisors and the w