Lead Operations Specialist, Custody
Core
Senior operations specialist managing physical securities transactions, Medallion Signature Guarantees, and customer service for financial advisors.
Role type
Senior IC operations specialist (custody)
Builds
Physical securities transactions and Medallion Signature Guarantee processes for financial advisors
Domain
Financial Services / Wealth Management
Required skills
complex security management process knowledge, Medallion Signature Guarantee expertise, customer service (inbound/outbound), risk assessment, team mentorship, key controls oversight, SEC/FINRA regulations knowledge
Preferred skills
prior LPL Financial operations experience, physical document processing, quality control, complex escalation handling, MS Excel (macros), SIE or FINRA Registration
Technologies
MS Excel (macros)
Responsibilities
Act as a resource for security management inquiries and train junior colleagues; Handle escalated customer calls and service tickets with a risk-averse approach; Assist with Stock Certificate Deposit processes; Oversee key and non-key controls for the department; Drive success in Medallion Signature Guarantee Request process; Lead Weekly Team Huddles
Seniority
Senior, hands-on IC