Lead Operations Specialist, Custody

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you'll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview

The Lead Operations Specialist is a key role in brokerage operations acting as a tenured and senior processing-level Subject Matter Expert at the firm. Within the Custody Department this includes transacting physical securities for clients, providing Medallion Signature Guarantees for financial transactions, and offering customer service in a unique subject matter directly to our advisors by taking inbound calls, emails, and service tickets. The Lead Operations Specialist will focus heavily on driving Team success acting as a guide and resource in the Subject Matter.

Responsibilities

• Act as a resource to the firm and apply complex knowledge of the overall security management process for inquiries received from internal and external customers and transfer agents. Subject matter training provided to junior colleagues. Lead Operations Specialist will engage as a resource more frequently with leaders around the firm in the Risk and Compliance fields.
• Effectively communicate verbal and written information to Financial Advisors and Service Teams on the status of their requests. Inbound and outbound calls are handled daily with quantity and quality goals. As a Lead Operations Specialist escalated calls will be the priority providing top-level customer service while maintaining a risk-averse approach that will protect both end-clients and the business.
• Assist junior colleagues on the team with all aspects of the Stock Certificate Deposit processes, acting as a trusted resource with a wide-ranging skill set in the subject matter.
• Work with Management and Team Analysts to complete regularly cadenced key controls for the department, and process as well as provide oversight on non-key controls being processed by junior colleagues. Organization and timeliness are key.
• Drive success in the Medallion Signature Guarantee Request process, relying on teammates for feedback, and offering a trusted risk-focused assessment on escalated reviews.
• Lead Weekly Team Huddles, focusing on a balance of Engagement and Information.

What are we looking for?

• We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments.
• Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed.
• We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements

• 3+ years of experience in the Financial Services Industry
• 3+ years of experience in Customer Service (Retail or Call Center)

Core Competencies

• Customer-First Mindset
• Team Engager and Promoter
• Risk-averse and Diligent
• Top-notch Organizational Skills
• Advanced Professional Oral/Written Communication

Preferences

• Prior experience within LPL Financial in an Operations or Service role
• Experience with transactions of securities
• Processing physical documents with attention to detail is extremely important, experience with quality control or quality assurance
• Handling complex escalations
• MS Excel experience (working with macros)
• Knowledge of SEC and FINRA Regulations pertaining to Financial Operations
• SIE or FINRA Registration
• Bachelor's Degree from an accredited university

Pay Range

$20.85-$34.71/hour

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

Information on Interviews

LPL will only communicate with a job applicant directly from an @lplfinancial.com 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.

EAC 5.19.26