Manager of Transfer of Assets (ACATS)

📋 Description

• Own the account transfer lifecycle for incoming and outgoing ACAT, DRS, DWAC, and non-ACAT
• Lead, coach, develop, and hire top talent, and foster a team culture where problems surface early
• Actively monitor metrics including individual productivity and quality, straight-through processing
• Drive operations team-led innovation and process improvement through procedure changes and the use
• Partner with Product and Engineering to shape the transfer roadmap, write clear requirements, and
• Develop and maintain transfer policies and procedures, and serve as the operational point of

🎯 Requirements

• 4+ years hands-on in account transfers at a self-clearing broker-dealer, clearing firm, or
• 1+ years managing people, with a track record of helping individual contributors grow.
• Proven ability to build a positive, high trust team culture in a high volume, fast paced
• In-depth knowledge of FINRA Rule 11870 and NSCC rules.
• Proven record of process improvement and implementation of effective risk controls
• Excellent communication skills and a strong desire and ability to build lasting relationships with

🎁 Benefits

• Stunning, amenity-filled office spaces in Culver City, CA, San Francisco, CA, and Dallas, TX. Our
• Competitive pay and equity for eligible positions.
• Premium healthcare, dental, and vision insurance plans (HMO and PPO).
• 401k savings plan with a 4% match and immediate vesting.
• 16 week paid parental leave after one year of employment.
• Professional growth and development opportunities including an employee mobility program and an