Lead Operations Specialist, Custody

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.

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.

·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.

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.

·3+ years of experience in the Financial Services Industry

·3+ years of experience in Customer Service (Retail or Call Center)

·Customer-First Mindset

·Team Engager and Promoter

·Risk-averse and Diligent

·Top-notch Organizational Skills

·Advanced Professional Oral/Written Communication

·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

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com.

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

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 (855) 575-6947.

EAC 5.19.26