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.

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

• 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.