Operations Processing Specialist

Customer Service Opportunity in Financial Services

Operations Processing Specialist

New Graduates Will Be Considered

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 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 assigned schedule. 

Osaic is not considering remote candidates at this time.

Role Type: Full-time, Non-Exempt

Salary: $43,000 - $48,000 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:

We are seeking a detail-oriented Processing Specialist to join our Financial Services team, supporting the efficient and accurate handling of brokerage account documentation. In this role, you will be responsible for reviewing, validating, and processing a variety of client account requests—including account openings, transfers, maintenance  money movement, and regulatory documentation—while ensuring compliance with firm policies and industry standards. 

At the core of this role is a commitment to delivering an exceptional service experience. You will act as a trusted partner to both financial professionals and internal stakeholders—prioritizing responsiveness, accountability, and clear communication. Success in this position requires a proactive mindset, a willingness to go above and beyond, and a genuine dedication to helping others.

Starting your career within Osaic’s Processing Center provides a strong foundation for long-term growth within the firm. In this role, you’ll build a deep base of knowledge by supporting financial professions and their teams, learning core operational processes, and developing expertise across Osaic’s platforms, products, and policies. The Operations Center is designed as an entry point to the organization, offering hands-on experience, ongoing training, and exposure to multiple areas of the business. As you develop your skills and discover your strengths, you’ll have opportunities to expand your responsibilities and explore diverse career paths across Osaic, shaping a future that aligns with your ambitions and potential.

Education Requirements:

High School Diploma or equivalent (GED) required

Responsibilities:

Operations Processing

• Process brokerage account documents with a high degree of accuracy and within established service level timelines
• Review incoming documentation for completeness, ensuring all required fields, signatures, and supporting materials are present
• Validate transactions against firm policies, industry regulations, and compliance standards
• Identify and resolve discrepancies, missing information, or errors prior to processing
• Ensure strict adherence to regulatory requirements (e.g., KYC, AML, and account registration rules)
• Maintain precise records and audit trails for all processed transactions
• Prioritize workload effectively to meet deadlines in a high-volume processing environment
• Collaborate with internal partners to clarify requests and facilitate timely resolution
• Continuously monitor for risk and escalate potential compliance issues when identified
• Apply strong attention to detail to minimize errors and uphold data integrity across systems

Client, Advisor & Clearing Firm Interaction

• Interact with financial advisors, clearing firms, custodians, and other external partners on routine and complex account transfer requests.

• Provide timely and accurate status updates within contact management and workflow systems.
• Make outbound phone calls to financial professionals as needed to resolve transfer issues and communicate status updates.
• Build and maintain strong working relationships with vendors, internal stakeholders, and financial professionals.

Operational Excellence & Cross‑Functional Support

• Maintain a strong understanding of clearing firm processes and policies and how they align or differ from internal procedures.
• Act as back‑up support to co‑workers by cross‑training on all department functions and demonstrating flexibility during periods of increased workflow.
• Remain current on changes to industry regulations, clearing firm procedures, and internal business processes.
• Perform additional duties as assigned.

Customer Support & Phone Inquiries

• Answer inbound calls from financial professionals in a courteous, professional, and timely manner
• Respond to questions regarding accounts, products, services, and procedures
• Research and resolve issues efficiently, escalating complex matters as needed
• Document all interactions accurately in internal systems

Collaboration & Continuous Improvement

• Work closely with internal teams to resolve inquiries and improve service delivery
• Identify trends or recurring issues and provide feedback to leadership
• Contribute to a positive team environment and customer-focused culture

Basic Requirements:

• Customer-focused mindset
• Attention to detail and accuracy
• Problem-solving and critical-thinking skills
• Time management and organizational skills
• Motivated individuals looking to grow a career in the Financial Services industry
• Proficient with Windows Microsoft Excel, Word, Outlook and Internet
• Ability to read & interpret company policies, operations manuals, & technical guides

Preferred Requirements:

• For new graduates: internship, co-op experience, prior work experience
• 1 years’ experience of brokerage experience
• Completion of the FINRA SIE exam
• FINRA Series 7
• Experience with Envestnet / Wealth Management Platform
• Bachelor’s degree in business, Finance or related field is preferred
• Prior Experience or Exposure Including: Financial Services, Investment Advisory, Billing, Accounting, Customer Service, Advisor Support, Client Support, Operations Support, Account Management, Broker-Dealer, Financial Advisor, Support Representative, Customer Service Representative, Back Office Operations