Operations Processing Opportunity in Financial Services
Operations Processing Specialist
Location(s):
Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
La Vista:12325 Port Grace Blvd, La Vista, NE 68128
Oakdale: 7755 3rd St. N, Oakdale, MN 55128
Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.
Role Type: Full-time, Non-Exempt
Salary: $42,000-$45,000 per year + annual performance-based bonus
Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.
Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: Osaic Benefits.
Summary:
The Operations Processing Specialist will be part of a team responsible for the accurate, timely and efficient
processing of routine and complex transactions involving client account opening, account maintenance, rep
changes, sponsor company changes and supporting the day-to-day activities associated within Brokerage
Operations.
Education Requirements:
Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.
Responsibilities:
- Provide a high level of service and support to independent financial advisors nationwide.
- Review, process and follow up on a variety of complex brokerage and non-brokerage account requests.
- Act as subject matter expert for several different responsibilities within brokerage Operations.
- Act as back-up to co-workers and senior processors through cross-training on all department functions.
- Interact with clearing firm on routine brokerage account processing requests; provide timely updates and
statuses in contact management and workflow systems. - Answer internal and external phone calls; make outbound phone calls to our advisors.
- Update contact management systems with professional grammar and spelling.
- Exercise judgment to know when to escalate issues to manager or supervisor.
- Ability to process work from multiple operations classifications with a high degree of accuracy.
- Act as a back-up for Operations Team Lead for escalated service requests and phone calls.
- Assist in training and mentoring new hires.
- Work closely with Operations Supervisor and Team Lead to ensure escalations are resolved.
- Participating with projects and system testing as needed.
- Identify and recommend opportunities for improving existing procedures, training manuals and other
improvements. - Create a strong working relationship with vendors, internal stakeholders and advisors.
- Keep up to date on changes to industry and business processes.
- All other duties as assigned.
Basic Requirements:
- 3+ years’ experience in financial services operations or broker-dealer setting.
- Critical thinking and high level of attention to details.
- Proficiency at Microsoft Word, Excel, Edge, Chrome, Outlook, OneNote, Teams.
- Excellent communication & organizational skills.
- Must become proficient with the following systems: CAIS, NetX360, Wealthscape, Front-End Imaging (FEI),
Support Center (contact management and imaging workflow systems), eQuipt and other assigned back office
functions. - Must acquire and retain knowledge of securities industry rules and best practices regarding brokerage
account operations and have strong organizational and time management skills. - Be able to work independently and maintain elevated levels of quality.
- Ability to participate and contribute to a team environment.
- Ability to work overtime, including weekends, as needed to support heavy work volume when
applicable.
Preferred Requirements:
- FINRA Series 7 license a plus. Completion of FINRA SIE exam.
Top Skills
What We Do
Osaic provides the support, resources, and community designed for the future of wealth management. Securities and investment advisory services are offered through the firms: Osaic Wealth, Inc., Osaic Institutions, Inc., Osaic FA, Inc., Osaic FS, Inc., and Triad Advisors, LLC, broker-dealers, registered investment advisers, and members of FINRA and SIPC. Securities are offered through Securities America, Inc., American Portfolios Financial Services, Inc., Osaic Services Inc., and Ladenburg Thalmann & Co., broker-dealers and member of FINRA and SIPC. Advisory services are offered through Arbor Point Advisors, LLC, American Portfolios Advisors, Inc., Ladenburg Thalmann Asset Management, Inc., Osaic Advisory Services, LLC, and Securities America Advisors, Inc., registered investment advisers. Advisory programs offered by Osaic Wealth, Inc., Securities America Advisors, Inc., and Triad Advisors, LLC., are sponsored by VISION2020 Wealth Management Corp., an affiliated registered investment adviser.
