Associate Service Professional

LPL Financial LLC; Tempe (AZ); On-site; USD 29,000 - 48,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial LLC is seeking a Cash Management Associate Service Professional in Operations to handle advisor calls, resolve documentation issues, and guide cash-management requests. The role emphasizes accurate information delivery, professional communication, and the ability to manage complex conversations with financial advisors.

The position requires 2+ years in brokerage/financial services, strong communication, and the ability to multi-task in a fast-paced team environment.

Qualifications

• 2+ years of brokerage/financial services experience.
• 2–3 years of professional, customer-facing work.
• Strong written and verbal communication skills.

Responsibilities

• Provide support for complex customer account issues via inbound/outbound calls with professionalism.
• Set expectations and take actions to resolve inquiries promptly; coordinate with internal departments and advisors.
• Clearly communicate status of NIGO requests and required steps to achieve good order (IGO).
• Identify issues to minimize NIGO rejections and improve processes.
• Support internal and external partners on NIGOs, distributions/deposits, and ad hoc requests.
• Collaborate with team to grow expertise in cash management processes for retirement and non-retirement accounts.
• Handle complex situations received via email, Dynamics, Smartsheet, phone, etc., and contribute to policy updates.
• Provide feedback for process improvements to advance the business.
• Participate in huddles and department meetings to ensure alignment.
• Review discrepancies related to Cash Management and share insights.

Skills

Customer service

Financial services

Communication skills

Team collaboration

Job description

Where Ambition Meets Innovation: Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview

The Cash Management Associate Service Professional in Operations will primarily handle inbound and outbound calls with our advisors aiming to guide and support cash management requests. This includes proactively resolving any issues with incomplete/incorrect documentation and/or information. The ideal candidate will pride themselves on providing advisors with accurate information to resolve issues and educate for future requests. The individual in this role will need to have a solid understanding of how to handle complex phone calls to our advisors. Upon completion of the call, the individual will have the ability to process, support call resolution, and have a solid understanding of Cash Management Operations daily processes. Exceptional customer service and professionalism is required while providing a positive experience to our advisors and clients.

Responsibilities

• Providing support with complex customer account-related issues via inbound/outbound calls while displaying the utmost professionalism.
• Setting expectations and taking appropriate actions to resolve inquiries in a timely manner; this may include initiating calls, emailing internal departments, advisors, and/or LPL representatives.
• Effectively communicating, verbally and in writing, all pertinent information to financial advisors on the status of their NIGO request and what is needed to get account in good order (IGO).
• Proactively identifying issues to help minimize the need for not in good order (NIGO) rejections.
• Supporting internal and external business partners regarding NIGOs, distributions/deposits, special projects, or ad hoc requests on a case-by-case basis.
• Partnering with team members to continuously grow and enhance expertise Cross-training on all cash management processes for retirement and non-retirement accounts assisting with overall departmental production goals.
• Assuming ownership of complex situations received via email, Dynamics, Smartsheet, phone, etc.
• Providing feedback and process improvements to drive the business forward.
• Engaging in huddles, attending department meetings, and assisting with policy/procedural updates.
• Reviewing and contributing insight on discrepancies reported to Cash Management.

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements

• 2+ years of experience in brokerage/financial services industry.
• 2-3 years of professional work experience, customer facing experience is a plus.
• Strong and effective communications skills (written and verbal); ability to communicate with a variety of personalities.

Preferences & Core Competencies

• Understanding risks related to Cash Management.
• Understanding of the financial services and banking industry.
• Organized, analytical, and accurate with a strong attention to detail.
• Ability to multi-task and work in an agile environment.
• Strong organizational and critical thinking skills.
• Ability to work self-directed/independently.
• Ability to develop analytical and problem-solving skills.
• Effective time management.
• Team player with a positive attitude.

Pay Range

$21.10-$35.16/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.

Benefits

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.

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off
• and more

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 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans.

For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources they need to run thriving businesses. 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.

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities.

Principals only.

EOE.

Information on Interviews

LPL will only communicate with a job applicant directly from an @lplfinancial.com 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 [phone].

EAC 5.19.26 LPL Financial is the nation’s largest independent broker-dealer.*

Our company is widely known for its financial strength, exceptional service, and favorable industry reputation among financial professionals.

To understand who we are, it’s important to know our core belief: financial guidance is a fundamental need for everyone.

LPL Financial creates the space to let you do what you do best – create personal, long-term client relationships that turn financial aspirations into realities.

Each year, thousands of financial professionals successfully manage billions of dollars in assets.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact.

To learn more about our organization visit our About LPL page.

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

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