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AVP, Account Transfers

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Job ID R-025262 Date posted 08/26/2022 Primary Location SC-Fort Mill Other Locations KS-Overland Park

LPL Financial is seeking an experienced Operations Professional to be responsible for the Strategy, Maintenance and Execution/Implementation of platforms and practices associated with Account Transfers.

This position will report directly to the VP of Account Transfers and will actively partner with teams inside and outside of operations to manage existing operations, functionality and develop associates into operations professionals. This individual will have a key coordinating role in running daily Transfers related operations on behalf of the business.       


  • Strategic Leadership - This role requires interaction with multiple layers of management and will be a key contributor in strategic decision making as it relates to the Account Transfers department's growth and success. Must be able to communicate with key stakeholders within the organization on strategic thoughts and vision.  This individual will be responsible for career mentoring and overall development of human talent within the department.
  • Thought leadership in the use and utilization of brokerage platforms for the purpose of facilitating the Account Transfers process. 
  • Management of vendors on solutions and requirements for the Accounts Transfers platform.
  • Assess Risks and understand controls needed within Operational functions to maximize use of existing resources while ensuring we are properly staffed to meet advisor and client needs.
  • Understand the needs and complexities of advisors and their clients as it pertains to an ever changing wealth management space.
  • Own prioritization of value items within the backlog on behalf of the SVP/EVP of Operations for the purposes of forwarding the objectives and key results. 
  • Align with Risk teams to ensure proper design and testing of business continuity plans.
  • Collaborate with Operations leaders to optimize organizational structures including spans and layers.
  • Lead small team of Managers and specialized technical associates as needed.

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.


  • Minimum Experience: 3-5 years Financial Services Operations Management
  • Licenses: Series 7, 63/66 or ability to obtain said licensure within 12 months

Core Competencies:

  • Adaptable and highly self-motivated in pursuing intelligent automation and emerging technologies.
  • Solid experience in presentation and excellent verbal/written communications.
  • Solution oriented, synthesizing and analytical skills.
  • Excellent collaboration skills, ability to achieve results through vendors, and team members, proficient organizational skills, demonstrated passion for execution excellence and agility.
  • Strong execution ability and a sense of urgency.
  • Executive presence and ability to simplify complex concepts for consumption by senior business leaders.
  • Business acumen in wealth management or related fields.
  • Ability to effectively interact with the full spectrum of disciplines necessary through the development lifecycle (i.e. Business Process Design, Analysis, Functional / Technical Design, Development, Architecture)
  • Change Agent, able to define the future state and implement change as necessary
  • Proven ability as a structured, logical thinker
  • Creative, flexible and an experienced practitioner; with a growth mindset and superior collaboration skills.
  • Subject Matter Expertise with the DTCC’s ACATS and Non-ACATS transfer functionality


  • All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel (VBA)
  • Bachelor’s degree in Accounting, Finance, or Economics from an accredited University or College or equivalent industry experience

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

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 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 (800) 877-7210.

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