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 team is responsible for facilitating all securities movement into and out of the firm. The ideal candidate will have an understanding of data analysis, project management, and reporting tools and technology in general to effectively analyze business requirements, track project status, and translate business needs into technical requirements. The candidate will also need strong interpersonal, organization and communication skills (written and verbal) to be effective in the role.
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.
- Reconcile mutual fund transfers facilitated through the ACAT system.
- Respond service requests that are created by Service360 teams, General Service Center, and CCS Service Center
- Develop risk based mitigation approaches that may yield changes to functions, and departmental requirements.
- Understand and Interpret rule modifications in an ever changing regulatory environment, and understand the business needs of LPL, our advisors, and other departments
- Risk Management- responsible for daily Account Transfers reconciliations, managing error rates, exception review processing and daily reporting. Other duties could also include policy and procedures reviews and presentations to the staff.
- Technology and Systems Management – Participate and implement departmental projects as well as coordinating and performing User Acceptance Testing.
- Partner with other operational groups to ensure consistency and understanding for downstream/upstream effect.
- Review processes and procedures to identify areas of improvement to mitigate risk, increase efficiency and ensure consistency to Advisors and Clients.
- Recognizes issues, problems, or opportunities and determines whether action is needed. Seeks the perspective of others and re-examines assumptions to creatively solve problems and generate solutions.
- Makes connections & offers creative recommendations on how to solve business challenges.
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 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
- Proficiency in Alteryx and Microsoft applications (Excel, Access, etc)
- Experience with implementation and adherence of Lean Management principles
- Experience with Brokerage Clearing Platforms; BetaNXT; FISPhase3; Broadridge
- SIE or Series 7 preferred
- Effective Oral/Written Communication, Adaptability, Initiative, Decision Making, Customer Service, Passion for Results, ability to operate with minimal to no supervision
Pay Range:
$26.10-$43.53/hourActual 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 wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.
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.
For further information about LPL, please visit www.lpl.com.
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.
EAC 5.19.26
Skills Required
- 3+ years experience in Brokerage Operations, specifically Account Transfers/ACATs
- Ability to work independently in a fast paced environment with multiple priorities
- Excellent verbal and written communication skills
- Ability to work with and communicate effectively to various levels throughout the organization
- Analytical skills to review exceptions, perform reconciliation, and daily reporting
- Proficiency in Alteryx
- Proficiency in Microsoft Excel
- Proficiency in Microsoft Access
- Experience with Lean Management principles
- Experience with Brokerage Clearing Platforms (BetaNXT, FISPhase3, Broadridge)
- SIE or Series 7 certification
LPL Financial Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about LPL Financial and has not been reviewed or approved by LPL Financial.
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Retirement Support — Retirement programs include a company 401(k) match that is frequently highlighted as a strong component of total rewards. Feedback suggests these features meaningfully enhance long‑term financial value.
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Equity Value & Accessibility — An employee stock purchase plan with a meaningful discount and lookback is highlighted as accessible ownership. Feedback suggests the plan adds tangible upside beyond base salary.
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Parental & Family Support — Paid parental leave has been expanded alongside family‑building and adoption support. Feedback suggests these benefits compare well to large‑employer standards.
LPL Financial Insights
What We Do
Financial advice is changing, and at LPL Financial, we’re at the forefront. We’re building a future where advisors can—with no friction or complexity, as simple as turning the dials—pick the business model, services, technology, and product mix that best meet their clients’ needs. With one platform, one sign-on, and one team to call, you can take your business anywhere you want it to go. There are no limits to your growth, and we’ll partner with you every step of the way. Your greatness is our goal. LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL.com Securities and Advisory Services offered through LPL Financial. A registered investment advisor, Member FINRA/SIPC.
