Account Transfers Analyst

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

• 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

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.

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

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

• Independence
• Creativity
• Collaboration
• Adaptability
• Verbal Communication

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