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Senior Operations Specialist, Custody

Job ID: R-009825 Date posted: 05/15/2020 Primary Location SC-Fort Mill

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. Responsibilities include reviewing and handling Stock Certificate deposits, guaranteeing signatures for financial transactions, and taking subject matter specific calls from both advisors and internal business partners. Review of securities-based legal documentation will occur daily. The Sr Operations Specialist will also be responsible for reaching out to Financial Advisors directly for reconciliation and acting as a resource for both Financial Advisors and internal business partners in assisting with escalated requests and information distribution.

Essential Functions:

  • Review, research, reconcile and/or process certificate deposits and be able to expedite requests within the service level expectations. 
  • Must be able to work at 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 of certificate deposits.  
  • Effectively communicate verbal and written pertinent information to Financial Advisors and Service Teams on the status of their certificate deposits or any additional requirements that may be needed to complete the deposit. 
  • The qualified candidate must be able to handle inbound and outbound calls and display utmost professionalism with a positive attitude. 
  • 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 be able 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).

Job Requirements:

  • Bachelor's degree preferred
  • 3+ years of experience in the Financial Services industry
  • 2+ years of experience in Customer Service
  • Strong Oral/Written Communication – Customer Service oriented Phone and Email etiquette required
  • Client-centric, Adaptability, Initiative, Decision Making, Passion for Results

Licenses/Certifications: SIE or Securities Registration Strongly Preferred

Software/Systems Skills:  Microsoft Office Suite required, Beta/DTC preferred

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an 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 (800) 877-7210.

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  • Service and Operations, Fort Mill, South Carolina, United StatesRemove