Brokerage Operations – Associate Pod Analyst, Account Transfers Position Available In Lancaster, South Carolina

Brokerage Operations

• Associate Pod Analyst, Account Transfers
  LPL Financial Fort Mill, United States
  Posted 14 hours ago Permanent Competitive
  Brokerage Operations
• Associate Pod Analyst, Account Transfers
  LPL Financial Fort Mill, United States
  Brokerage Operations
• Associate Pod Analyst, Account Transfers

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 want strong collaborators who can deliver a world-class client experience . We are looking for people who thrive in a fast-paced environment , are client-focused , team oriented , and are able to execute in a way that encourages creativity and continuous improvement .

Requirements:

3 + years experience in the Brokerage Operations, specifically Account Transfers/ACATs/Non-ACATs
Service-oriented in working with various groups such as clients, other firms, service team, offshore partners, and various business units within the company

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:

Post Secondary Education preferred or at least three years’ experience in Brokerage Operations; Account Transfers/ACATs experience preferred.
Experience in work environments that use management principles that maximize value to customers and minimize waste
Experience with Brokerage Clearing Platforms; BetaNXT; FISPhase3; Broadridge
SIE or Series 7 preferred

Pay Range:

$22.54

• 37.56/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) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor (“RIA”) firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join LPL Financial:

Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?

Innovative Environment:

We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

Limitless Career Potential:

Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

Unified Mission:

We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

Impactful Work:

Our size is just right for you to make a real impact. Learn more here!
Commitment to

Equality:

We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

Community Focus:

We care for our communities and encourage our employees to do the same. Learn more here!

Benefits and Total Rewards:

Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on

Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

EAC1.22.25

Job

ID R-044184

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