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Sr Ops Specialist

LPL Financial

LPL Financial

Charlotte, NC, USA
Posted on Saturday, September 2, 2023

Are you a team player? Are you curious to learn? Are you interested in supporting others as they grow their business? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

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.


  • 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.

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.


  • 3+ years of experience in the Financial Services Industry
  • 2+ years of experience in Customer Service (Retail or Call Center)
  • Strong Oral/Written Communication – Customer Service oriented Phone and Email etiquette

Core Competencies:

  • Client-centric Mindset
  • Teamwork oriented
  • Top-notch Organizational Skills
  • Detail Oriented


  • Active FINRA Registration and/or FINRA SIE strongly preferred
  • Bachelor’s Degree from an accredited university
  • Knowledge and Experience working with DTCC
  • Experience working with Thomson Reuters BETA
  • Operations experience with a broker-dealer

Pay Range:


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!

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.