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
Seeks the perspective of others and re-examines 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

Account Transfers Analyst

Key skills