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Ops Specialist

Job ID: R-002011 Date posted: 01/04/2018 Primary Location SC-Fort Mill

Position Summary:

The ideal candidate will have a strong attention to detail, excellent verbal and written skills and be a team player with a positive attitude. Responsibilities include reconciling, processing and researching status on physical certificate deposits. In addition, the senior operations specialist will be responsible for the ongoing assessment, tracking and reporting of the quality and accuracy of assigned processes. Provide outstanding service while acting as a resource to internal and external business partners, handling escalated items and assisting with information distribution.

Essential Functions:

  • Review, research, reconcile and/or process certificate deposits and have ability to expedite requests within the service level expectations.
  • Must be able to work at a computer workstation for the majority of the day.
  • Attention to detail and problem solving skills are extremely important.
  • Review legal documentation for change of ownership during certificate deposit.
  • Effectively communicate pertinent verbal and written information to Financial Advisors and Service Teams on the status of their certificate deposits or any additional requirements that may be needed to complete their deposit.
  • The qualified candidate must be able to handle inbound and outbound calls and display the utmost professionalism.
  • Assists with questions from internal departments and Service Center as well as assisting with information distribution to various internal and external business partners.
  • Provides information to assist in giving feedback to employees and in the training of employees.
  • Ensures proper application of and compliance with internal and regulatory standards, guidelines and procedures.
  • Acts as a resource to the department and has the ability to apply complex knowledge of the overall certificate deposit process for inquiries received from internal and external customers and transfer agents about the overall certificate deposit process.

Other Job Duties:

  • Participation in various projects and/or assignments as required.
  • Subject matter expert on operational policies and procedures with extensive experience working with Depository Trust Company (DTC).


  • Bachelor's degree with at least three years related to customer service and/or financial services industries.
  • Effective oral/written communication, adaptability, initiative, decision making, customer service, passion for results, ability to operate with minimal to no supervision.
  • Software/System Skills: Microsoft Office Suite required, Beta/DTC preferred.

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

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

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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