Hybrid Brokerage Operations – Account Transfers Manager bei LPL Financial

Are you passionate about serving clients, adding value, and improving processes/systems? Are you solution-oriented and passionate about delivering results? Do you like thinking outside the box, learning new skills and problem solving? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

The Account Transfers Department facilitates movement of cash and securities into and out of LPL client accounts. We are seeking a candidate who has previous talent development experience and brokerage operational knowledge, specifically in Account Transers. As a Transfers Manager, you will play a direct role in helping our advisors execute financial plans for their clients by overseeing a team responsible for the initiating, reconciling, and researching ACAT and Non-ACAT asset transfer requests. You will also have an opportunity to help shape the process, create efficiencies, and eliminate waste through our best-in-class continuous improvement system.

Responsibilities:

• Provide ongoing support, coaching, feedback and developmental opportunities to address staff needs in order to engage them and empower them to be effective and successful.
• Strictly adhere to Lean Management system tools; this includes daily huddles, standard work, process confirmations, and others.
• Support and contribute to the successful execution of projects and initiatives that support LPL’s priorities
• Leverage technology to automate manual work and simplify processes where feasible to create a highly scalable, flexible, and efficient infrastructure.
• 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
• Effectively communicate verbal and written pertinent information to Financial Advisors and contra firms on the status of the transfer requests. 
• Regularly lead and 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.
• Work closely with offshore leadership team to ensure timeliness and accuracy SLA’s are met.  Communicate and meet regularly with offshore team to ensure training and procedures are current 
• 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.

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:

• Talent Management experience in the financial industry within a high volume and deadline-driven environment, managing remote team members and offshore partners
• SIE and Series 99 required or must be willing to obtain within 90 days

Core Competencies:

• 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 assignment
• Ability to develop positive working relationships and works well in a team setting

Preferences:

• Experience with Lean Management System tools and strategies, Lean Six Sigma Green or Yellow Belt preferred
• 3+ years’ experience in Brokerage Operations; Account Transfers/ACATs experience
• Experience in work environments that use management principles that maximize value to customers and minimize waste
• Effective Oral/Written Communication, Adaptability, Initiative, Decision Making, Customer Service, Passion for Results, ability to operate with minimal to no supervision
• Service-oriented mindset in working with various groups such as clients, other firms, service team, offshore partners, and various business units within the company

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously.  Learn more here!

Want to see info on our benefits?  Learn more here.

 

Pay Range:

$80,775-$134,625/year

 

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.

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