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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at
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Sr Ops Specialist

Job ID: R-019106 Date posted: 12/30/2021 Primary Location SC-Fort Mill

Sr Operations Specialist, Custody        US- Fort Mill, SC (On-site Only)


Position Summary:

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 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 Series 7 Strongly Preferred

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

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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