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Transfer Acat Jobs (NOW HIRING)

Nb

Client Associate

New York, NY · On-site +1

$80K - $100K/yr

Execute account maintenance (checks and wires, RMDs, name/address/beneficiary changes, ACAT/DTC transfers, cost updates, client-directed trade orders, and other miscellaneous requests) * Prepare ...

Neuberger Berman Group LLC

Client Associate

New York, NY · On-site

$80K - $100K/yr

Execute account maintenance (checks and wires, RMDs, name/address/beneficiary changes, ACAT/DTC transfers, cost updates, client-directed trade orders, and other miscellaneous requests) * Prepare ...

janney

$44K - $60K/yr

... account transfers of varying size and complexity from inception to completion. You will work ... Participate in reviews of BETA changes for ACAT and New Accounts processes to determine operational ...

janney

$44K - $60K/yr

... account transfers of varying size and complexity from inception to completion. You will work ... Participate in reviews of BETA changes for ACAT and New Accounts processes to determine operational ...

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How much do transfer acat jobs pay per hour?

As of Jun 7, 2026, the average hourly pay for transfer acat in the United States is $16.86, according to ZipRecruiter salary data. Most workers in this role earn between $13.70 and $18.75 per hour, depending on experience, location, and employer.

What are the key skills and qualifications needed to thrive as a Transfer Agent, and why are they important?

To thrive as a Transfer Agent, you need strong attention to detail, knowledge of securities regulations, and experience in financial services, often supported by a bachelor's degree in finance or a related field. Familiarity with transfer agency software, recordkeeping systems, and compliance tools like SEC regulations is typically required. Excellent organizational skills, problem-solving abilities, and effective communication help Transfer Agents manage complex transactions and client inquiries. These competencies ensure accurate securities processing, regulatory compliance, and high-quality client service in the financial industry.

What are common challenges faced by Transfer ACAT specialists during the account transfer process, and how can they be addressed?

Transfer ACAT specialists often encounter challenges such as delays due to incomplete documentation, discrepancies in account details, or issues with asset eligibility. Addressing these challenges involves thorough attention to detail, proactive communication with both clients and counterparties, and staying updated on industry regulations. Specialists typically collaborate closely with compliance teams and client service representatives to resolve issues quickly and ensure a smooth transfer process. Developing strong organizational skills and maintaining clear documentation are key to minimizing errors and expediting transfers.

What is the difference between Transfer Acat vs Transfer Agent?

AspectTransfer AcatTransfer Agent
CredentialsTypically requires licensing or certification depending on jurisdictionRequires licensing, often registered with regulatory bodies
Work EnvironmentWorks in financial institutions, brokerage firms, or transfer agenciesWorks for financial institutions, transfer agencies, or custodians
Industry UsageCommonly used in securities and financial asset transfersUsed in securities, mutual funds, and stock transfer services

The main difference between a Transfer Acat and a Transfer Agent lies in their specific roles within the securities transfer process. Transfer Acats are specialized entities or systems that facilitate the electronic transfer of securities, often requiring specific certifications. Transfer Agents, on the other hand, are responsible for maintaining records of securities ownership, issuing certificates, and processing transfers. Both roles are essential in the securities industry but serve different functions within the transfer process.

Why is Gen Z struggling to find jobs?

Transfer Acat roles, like many entry-level jobs, often require specific skills such as communication and problem-solving, which can be challenging for some Gen Z candidates due to limited work experience or training opportunities. Additionally, competition is high, and employers may prioritize candidates with prior relevant experience or certifications, making it harder for younger job seekers to secure positions.

What are Transfer ACAT jobs?

Transfer ACAT jobs refer to roles focused on processing Automated Customer Account Transfer (ACAT) requests within financial institutions. These professionals handle the transfer of securities and cash assets between brokerage accounts, ensuring that all regulatory and operational requirements are met. Their responsibilities include coordinating with clients and other financial firms, resolving discrepancies, and ensuring timely and accurate asset transfers. Strong attention to detail and knowledge of financial regulations are essential for this role.
More about Transfer Acat jobs
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Transfer Acat jobs near you
Infographic showing various Transfer Acat job openings in the United States as of May 2026, with employment types broken down into 2% As Needed, and 98% Full Time. Highlights an 85% Physical, 13% Hybrid, and 2% Remote job distribution, with an average salary of $35,064 per year, or $16.9 per hour.

New Business Operations Specialist

Sound Income Group LLC

Fort Lauderdale, FL

$94K - $111K/yr

Other

Medical, Dental, Vision, Retirement, PTO

Posted 4 days ago

Job description

Description

POSITION: New Business Operations Specialist 

Location: Fort Lauderdale - HQ

Department: New Business

FLSA Classification: Non-Exempt 


Who We Are

At Sound Income Group, our mission is to help independent financial professionals and their clients thrive, especially those approaching or in retirement. We provide a full suite of resources across financial education, investment strategies, marketing, and practice management to support long-term success.
 

We foster a collaborative, performance-driven culture rooted in integrity, innovation, and service. If you're enthusiastic about making a measurable impact in the financial services space, we invite you to grow with us.


Position Summary

The New Business Operations Specialist is responsible for managing the end-to-end processing of new business across annuity, brokerage, and advisory products. This role ensures all applications are accurate, complete, and submitted efficiently, while proactively tracking cases through to completion.


This individual serves as a key point of contact for advisors and internal teams, ensuring a smooth and timely client onboarding experience through strong communication, follow-through, and operational excellence.


Key Responsibilities
  • Serve as a primary point of contact for advisors on complex cases, escalations, and case structuring, providing timely guidance and solutions. 
  • Own the end-to-end new business lifecycle from submission through policy issuance, ensuring accuracy, efficiency, and adherence to timelines. 
  • Review and resolve NIGO (Not in Good Order) submissions by identifying discrepancies and coordinating required corrections with advisors and carrier partners. 
  • Support the development, documentation, and continuous improvement of standard operating procedures (SOPs) for new business processing. 
  • Train, mentor, and support junior team members on systems, workflows, and industry best practices. 
  • Conduct thorough quality reviews of all documentation to ensure completeness, accuracy, and compliance (including signatures, dates, and required forms). 
  • Submit applications to carriers, including associated funding documentation (checks, rollovers, transfers) and supporting statements. 
  • Provide ongoing support to Retirement Income Source advisors by tracking case progress and proactively addressing outstanding requirements. 
  • Monitor and follow up on pending transfers through carrier platforms and direct communication to ensure timely completion. 
  • Collaborate cross-functionally with financial intermediaries, including brokerage firms, investment companies, accountants, and attorneys, to facilitate case progression. 
  • Deliver a high level of service by maintaining clear, professional communication with advisors via phone and written correspondence. 
  • Prepare and run annuity illustrations and quotes as needed to support advisors and case design. 
  • Track, analyze, and report on key performance metrics related to new business processing. 
  • Partner with Licensing & Contracting to verify advisor eligibility and ensure all requirements are met for business submission within applicable states. 
  • Coordinate with the Commissions team to resolve advisor compensation inquiries accurately and efficiently. Build and maintain strong relationships with carrier partners to expedite underwriting, resolve issues, and enhance overall case outcomes.

Requirements

Must-Have Qualifications

Background and Education:

  • Minimum 3-5 years of experience supporting financial advisors within a financial services firm, insurance operations, or new business processing 
  • Hands-on experience processing annuity, brokerage, or ACAT applications 
  • Proficiency in Microsoft Office (Word, Excel, Outlook) 
  • Strong written and verbal communication skills 
  • Experience with annuity products (Fixed, Fixed Indexed, Variable) 
  • Familiarity with FireLight, or similar eApplication/eSubmission platforms 
  • Highly organized with strong time management, prioritization, and multitasking abilities in a deadline-driven environment 
  • Familiarity with case tracking, reporting, and pipeline management 
  • Exceptional attention to detail with a high level of accuracy and follow-through 
  • Ability to work both independently and collaboratively with minimal supervision 
  • Proven ability to manage multiple cases simultaneously in a high-volume environment 
  • Professional, dependable, and relationship-oriented, with the ability to build and maintain advisor relationships 
  • Demonstrated initiative, urgency, and a proactive approach to problem-solving 
  • Team lead with the capability to mentor staff and support team workflows 
  • Working knowledge of Annuity Rate Watch 
  • Life & Health Insurance License (or willingness to obtain) 

Preferred Skills:

  • Experience working within CRM systems (e.g., Salesforce, Redtail, or similar) 
  • Ability to research and resolve issues related to application processing, transfers, or commissions 
  • Experience collaborating cross-functionally with advisors, carriers, and internal departments
  • Bachelor's degree preferred, but not required

Nice to Have: 

  • Exposure to broker-dealer processes, compliance, or licensing workflows
Physical & Work Environment Requirements
  • Ability to work for extended periods at a desk using a computer.
  • Ability to lift up to 10 pounds if/when necessary.
  • Routine use of telephone and email.
  • Office-based role with potential travel to conferences, events, and satellite offices as needed.
Benefits

We're proud to offer a comprehensive benefits package that supports your professional and personal well-being, including:

  • 100% employer-covered medical benefits and HRA account 
  • Dental & vision plans 
  • Generous PTO + 10 NYSE company holidays per year 
  • 401K with company match program
  • Free onsite parking
  • Company-provided laptop and required technology
  • Access to an on-site gym (free of charge)
  • Weekly vehicle detailing (at additional cost) 

The duties and responsibilities described in the above job description are not a comprehensive list.  Additional tasks may be assigned to the employee from time to time; or the scope of the position may change as necessitated by company demands and/or industry standards.

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