Lead Operations Specialist, Custody

LPL Financial•Fort Mill, SC

3d•$21 - $35

About The Position

The Lead Operations Specialist is a tenured, senior processing-level subject matter expert in brokerage operations, working within the Custody Department. The role handles physical securities transactions for clients, provides Medallion Signature Guarantees for financial transactions, and serves advisors through inbound calls, emails, and service tickets. It focuses on driving team success by providing guidance and serving as a resource on custody-related subject matter. The specialist applies complex knowledge of security management processes to inquiries from internal and external customers and transfer agents. They communicate request status to Financial Advisors and Service Teams, prioritize escalated calls, support junior colleagues, contribute to department controls and process oversight, assess escalated Medallion Signature Guarantee requests with a risk-focused approach, and lead weekly team huddles.

Requirements

At least 3 years of experience in the financial services industry.
At least 3 years of experience in customer service, such as retail or call center work.
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 related to Financial Operations.
SIE or FINRA registration.
Bachelor’s degree from an accredited university.

Responsibilities

Serve as a resource on the overall security management process for inquiries from internal and external customers and transfer agents.
Provide subject matter training and guidance to junior colleagues, and engage with firm 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 while protecting clients and the business through a risk-averse approach.
Assist junior colleagues with all aspects of Stock Certificate Deposit processes.
Work with Management and Team Analysts to complete regularly scheduled key controls and process or oversee non-key controls handled by junior colleagues.
Support the Medallion Signature Guarantee Request process, solicit teammate feedback, and provide risk-focused assessments of escalated reviews.
Lead weekly team huddles that balance engagement and information.