Senior Manager of Transfer of Assets (ACATS)
Core
Own the end-to-end lifecycle of incoming and outgoing ACATS, DRS, DWAC, and non-ACAT transfers, including initiation, validation, exception handling, asset delivery, settlement, claims, and residuals.
Role type
Senior Manager of Transfer Operations (ACATS)
Builds
A scalable, high-accuracy account transfer platform for financial advisors and their clients
Domain
Wealth Management / Financial Services / Account Transfers
Required skills
ACATS/DRS/DWAC transfer mechanics, FINRA Rule 11870, NSCC rules, Series 7 or 99, process improvement, risk controls, workforce management, stakeholder management
Preferred skills
Series 24, AI tooling implementation, team leadership, data analysis
Technologies
Excel, Google Sheets, AI tooling
Responsibilities
Lead, coach, develop, and hire top talent for the transfer team; Monitor metrics including productivity, quality, straight-through processing rate, rejection rates, SLAs, and processing times; Partner with Product and Engineering to shape the transfer roadmap and validate releases; Develop and maintain transfer policies and procedures; Serve as operational point of contact for internal audit, compliance, and regulatory examinations
Seniority
Senior Manager, hands-on leadership
