Senior Account Transfers Specialist - ACAT Expert

LPL Financial LLC; Tempe (AZ); On-site; USD 28,000 - 47,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial Holdings Inc. is seeking a Senior Account Transfers Specialist in Tempe, AZ to initiate, reconcile, and research ACAT and Non-ACAT transfer requests for advisors.

You will play a direct role in client services and help shape transfer processes through continuous improvement initiatives. Responsibilities include reviewing transfer requests, ensuring timely asset delivery, and communicating progress to advisors, vendors, and internal teams.

Qualifications

• Experience in the financial industry or processing in a high-volume, deadline-driven environment.
• Service-oriented in working with clients, firms, and multiple internal groups.

Responsibilities

• Review and initiate paper and electronic asset transfer requests for advisors.
• Research and reconcile transfer requests to ensure asset delivery.
• Communicate status of transfers to Financial Advisors and contra firms.
• Contribute to root cause analysis to improve transfer processes.
• Perform quality control to ensure standard work.

Skills

Communication skills

Multi-tasking

Attention to detail

Team collaboration

Job description

LPL Financial Holdings Inc. is seeking a Senior Account Transfers Specialist in Tempe, AZ to initiate, reconcile, and research ACAT and Non-ACAT transfer requests for advisors.

You will play a direct role in client services and help shape transfer processes through continuous improvement initiatives. Responsibilities include reviewing transfer requests, ensuring timely asset delivery, and communicating progress to advisors, vendors, and internal teams.