Sr Ops Specialist

LPL Financial•Fort Mill, SC

4d•$20 - $34

About The Position

The Custody Senior Operations Specialist is a key role in brokerage operations 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 Senior Operations Specialist reaches out to financial advisors directly for reconciliation and acts a subject matter expert for both Financial Advisors and internal business partners in assisting with escalated requests and information distribution. Responsibilities: Review, research, reconcile and/or process certificate deposits and be able to expedite requests within the service level expectations. Perform signature validations and risk assessments on outside business transactions as it pertains to the application of the Medallion Signature Guarantee. Certified guarantor training will be provided. Redeem fixed income securities and remove worthless securities from client accounts. 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. 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. Providing information to assist in giving feedback to employees and in the training of employees. What are we looking for? The ideal candidate will have a client-first customer service oriented mind-set from a financial background, with strong attention to detail, problem-solving skills, and excellent verbal and written abilities. Candidate will be able to contribute positively to a team-focused environment, driving both growth and innovation.

Requirements

3+ years of experience in the Financial Services Industry
2+ years of experience in Customer Service (Retail or Call Center)
Strong Oral/Written Communication – Customer Service oriented Phone and Email etiquette
Top-notch Organizational Skills and strong attention to detail
Ability to work individually and a member of a high functioning team.
Proficient in Microsoft Suite

Nice To Haves

FINRA SIE or securities registration
Knowledge and Experience working with DTCC
Experience working with Thomson Reuters BETA
Operations experience with a broker-dealer

Responsibilities

Review, research, reconcile and/or process certificate deposits and be able to expedite requests within the service level expectations.
Perform signature validations and risk assessments on outside business transactions as it pertains to the application of the Medallion Signature Guarantee.
Redeem fixed income securities and remove worthless securities from client accounts.
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.
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.
Providing information to assist in giving feedback to employees and in the training of employees.