Lead Operations Specialist, Custody

LPL Financial • Charlotte, NC

1d

About The Position

The Lead Operations Specialist is a senior processing-level subject matter expert in brokerage operations within LPL Financial’s Custody Department. The role handles physical securities transactions for clients, provides Medallion Signature Guarantees for financial transactions, and delivers customer service to financial advisors through inbound calls, emails, and service tickets. The position focuses on supporting team success by serving as a guide and resource in the subject matter, training junior colleagues, and providing risk-focused expertise on complex and escalated matters.

Requirements

• At least 3 years of experience in the financial services industry.
• At least 3 years of experience in customer service, in retail or a call center.
• Strong customer-first mindset.
• Ability to engage and promote teamwork.
• Risk-averse and diligent approach.
• Strong organizational skills.
• Advanced professional oral and written communication skills.

Nice To Haves

• Prior experience at LPL Financial in an Operations or Service role.
• Experience with securities transactions.
• Experience processing physical documents with attention to detail, including quality control or quality assurance.
• Experience handling complex escalations.
• MS Excel experience, including working with macros.
• Knowledge of SEC and FINRA regulations pertaining to financial operations.
• SIE or FINRA registration.
• Bachelor’s degree from an accredited university.

Responsibilities

• Apply complex knowledge of the security management process to respond to inquiries from internal and external customers and transfer agents.
• Train junior colleagues and serve as a subject matter resource, including for leaders in Risk and Compliance.
• Communicate request status verbally and in writing to Financial Advisors and Service Teams; handle inbound and outbound calls while meeting quantity and quality goals.
• Prioritize escalated calls and provide high-level customer service using a risk-averse approach that protects clients and the business.
• Assist junior colleagues with all aspects of Stock Certificate Deposit processes.
• Work with Management and Team Analysts to complete regularly scheduled key controls and oversee non-key controls processed by junior colleagues.
• Support the Medallion Signature Guarantee Request process, seek teammate feedback, and provide risk-focused assessments of escalated reviews.
• Lead weekly team huddles focused on engagement and information.

Benefits

• 401(k) matching
• Health benefits
• Employee stock options
• Paid time off
• Volunteer time off

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed