Brokerage Operations Associate Pod Analyst, Account Transfers

LPL Financial

. Assist with servicing escalated issues and other complex activities impacting the Advisor experience .

Posted 9/23/2026full-timeUnited StatesJuniorMid-Level💰 $23 - $39 per hourWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in Brokerage Operations with a focus on Account Transfers, utilizing Lean Management and Six Sigma methodologies to enhance processes. Strong analytical and communication skills are essential for effective collaboration and problem-solving in a fast-paced environment.

Highest-signal resume keywords

Brokerage Operations ExperienceAccount Transfers ExpertiseLean Management/Six Sigma ProficiencyStrong Communication SkillsTeam Leadership Experience

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Account TransfersACATsNon-ACATsData AnalysisReporting SkillsQuality ControlProcess ImprovementTrend IdentificationIssue Resolution

Soft Skills

Effective CommunicationProactive Problem SolvingTeam CollaborationService OrientationMulti-tasking

Tools & Technologies

BETABroadridgeDynamicsATDBRemit-Pro

Certifications & Qualifications

SIESeries 7

Industry Keywords

Brokerage OperationsAsset TransferMutual Fund ReconciliationFinancial AdvisorsLean Management Principles

About the role

Key responsibilities & impact

Assist with servicing escalated issues and other complex activities impacting the Advisor experience
Review and initiate paper and electronic asset transfer requests for advisors
Research and reconcile outstanding transfer requests to ensure asset delivery and balancing of books and records
Reconcile mutual fund shares between LPL, the contra party, and SS&C
Communicate pertinent transfer-request status information to Financial Advisors and contra firms
Contribute to root-cause problem-solving sessions to improve the Transfer process
Perform quality-control functions to ensure standard work is taking place
Share pain points with leadership and business partners to identify solutions and pursue process improvements
Leverage Lean Management/Six Sigma strategies and tools to enhance workflows and increase scalability
Act as a department resource for inquiries about the overall transfer process
Support projects and initiatives, including requirements, scripts, and UAT testing

Requirements

What you’ll need

3+ years experience in 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
Experience working on internal projects
Ability to analyze information and strong reporting skills
Effective and proactive communicator with strong written and verbal communication skills
Ability to multi-task various functions and assignments with competing priorities, changing demands, and tight deadlines
Accuracy and thoroughness in performing work assignments
Ability to develop positive working relationships and work well in a team setting
Experience in work environments that use lean management principles (LMS) preferred
Experience with Brokerage Clearing Platforms; BETA, Broadridge (statement reviews), Dynamics (cases), ATDB (account transfers database), Remit-Pro (review check images) preferred
Ability to identify and assess trends, resolve issues, and prevent issues from happening
Service-oriented when working with clients, other firms, service teams, offshore partners, and various business units
SIE or Series 7 preferred

Benefits

Comp & perks

401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
LPL Total Rewards package