Customer Service Opportunity in Financial Services
Job Title- Principal
Location(s):
Remote
Role Type: FT/Non-Exempt
Salary: $70,000.00 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:
As a member of our customer-facing organization, you will engage directly with our customers – over 11,000 Financial Professionals across the country, helping grow and support their firms. Working in a team environment, you will perform a wide variety of administrative and sales support duties supporting Investment Executives verifying compliance of transactions and documentation. A collaborative and entrepreneurial approach will drive success as you learn and navigate all aspects of Financial Professional support. Your contributions will ensure that our Financial Professionals get best-in-class service in every interaction with Osaic.
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:
- Validate client documents for compliance, completeness, and accuracy. Handle requests via phone, Service Center, or document management system including executing trades as needed. Attention to established policies and procedures to ensure accuracy of execution and timeliness with respect to market deadlines is essential.
- Maintain electronic client files/documentation on proprietary web-based software system
- Provide the highest level of service and responsiveness to customers, ensuring client satisfaction continues to be a distinguishing selling point for Osaic Institutions in our market space.
- Suggest and implement new policies and procedures based on business and regulatory changes.
- Use experience and knowledge to determine appropriateness of client accounts and trades.
- Recommend policies and procedures pertaining to approving and/or declining suitability of accounts and trades for clients.
- All other duties as assigned.
Basic Requirements:
- 1-2 years minimum of related experience
- Proficiency at Microsoft Word, Excel, Internet Explorer, Outlook, PowerPoint.
- Excellent communication & organizational skills.
- Quick learner with basic technical skills to efficiently navigate through various systems.
- STRONG customer focus orientation.
- High attention to detail, analytical mindset, and problem-solving skills.
- Be able to work independently and maintain elevated levels of quality.
- Self-motivated individual capable of meeting departmental expectations and deadlines
- Ability to participate and contribute to a team environment.
Preferred Requirements:
- 3+ years' experience in financial services operations or broker-dealer setting.
- Bachelor's degree in business, Finance or related field is preferred CRM experience / Salesforce experience.
- Completion of FINRA SIE exam.
- FINRA Series 7 license, other FINRA licenses.
Skills Required
- 1-2 years minimum of related experience
- Proficiency at Microsoft Word, Excel, Internet Explorer, Outlook, PowerPoint
- Excellent communication & organizational skills
- High attention to detail, analytical mindset, and problem-solving skills
- Ability to participate and contribute to a team environment
Osaic Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Osaic and has not been reviewed or approved by Osaic.
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Leave & Time Off Breadth — Paid time away includes PTO, sick time, holidays, and volunteer days available from the start. The breadth supports work–life balance with a Monday–Friday schedule.
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Healthcare Strength — Health coverage spans medical, dental, vision, life, and disability with HSA/FSA options and day-one eligibility. The package also includes wellness initiatives and adoption assistance.
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Retirement Support — A 401(k) with company match and immediate vesting is offered. This supports long-term savings starting on the first day.
Osaic Insights
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.
