Ops Processing Opportunity in Financial Services
Ops Processing Specialist – New Accounts
Training Class Start Date 11/3/2025
Location(s):
Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
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
St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
Osaic is not considering remote candidates at this time.
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.
You will spend the first several weeks in training. The schedule for training most likely will be different than your ultimate assigned schedule as the virtual training is set up covering all three time zones at once.
Role Type: Full-time, Non-Exempt
Salary: $45,000 - $60,000 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:
https://careers.osaic.com/Creative/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:
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 various brokerage and non-brokerage account requests.
Must act as subject matter expert for several different responsibilities within brokerage Operations.
Act as back-up to co-workers by cross-training on all department functions and demonstrate flexibility to respond to influx of workflow.
Interact with clearing firm on routine brokerage account processing requests; provide timely updates and statuses in contact management and workflow systems
Pay close attention to detail, process work accurately and work on repetitive tasks
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.
Flexibility is required to respond to increases in workflow.
All other duties as assigned.
Basic Requirements:
2-3 years relatable or transferable work experience; financial services experience preferred
Must be proficient in the following Microsoft programs: Excel, Word, Outlook, Edge, OneNote, Teams
Must become proficient with the following systems: NetX360, Wealthscape, Front-End Imaging (FEI), Salesforce (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.
Must be team-oriented and client-focused.
Ability to work overtime, including weekends, as needed to support heavy work volume when applicable.
Preferred Requirements:
2+ years' experience in financial services operations or broker-dealer setting.
FINRA Series 7 license a plus.
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.
