Manager of Transfer of Assets (ACATS)
Core
End-to-end ownership of ACATS, DRS, DWAC, and non-ACAT account transfer lifecycles, including initiation, validation, exception handling, asset delivery, settlement, claims, and residuals.
Role type
Manager of Transfer Operations (ACATS)
Builds
Internal transfer platform and operational processes for financial advisors
Domain
Wealth Management / Financial Services / Account Transfers
Required skills
ACATS/DRS/DWAC transfer mechanics, FINRA Rule 11870, NSCC rules, team leadership, process improvement, risk controls, data analysis
Preferred skills
Series 24 certification, AI tooling implementation
Technologies
Excel, Google Sheets
Responsibilities
Own the account transfer lifecycle for incoming and outgoing transfers; Lead, coach, develop, and hire top talent; Actively monitor metrics including productivity, quality, straight-through processing rate, and SLAs; Drive operations team-led innovation and process improvement; Partner with Product and Engineering to shape the transfer roadmap; Develop and maintain transfer policies and procedures
Seniority
Manager, hands-on leadership