Sr Ops Specialist

Job Overview:

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)

Core Competencies:

• 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

Preferences:

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

 

Pay Range:

$19.87-$33.11/hour

 

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

 

Company Overview:

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. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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.

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 LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial gu