Supervisor - Operations Processing (Transition)

Management Opportunity in Financial Services

Supervisor – Operations Processing (Transition)

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: $60,000-$68,000 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:

As a Supervisor of Ops Processing, you will supervise a team of Operations Processing Specialists responsible for transitioning business and support hundreds of Financial Professionals across the country, helping to grow and support their firms. The supervisor will be responsible for supporting the Ops Processing team and answering questions related to the common issues, including money movement, account maintenance, new account opening, etc. Our ideal candidate ensures the quality and timeliness in delivery of service. A collaborative and entrepreneurial approach will drive success as you help to resolve complex Financial Professional inquiries on behalf of the team you lead. Your contributions will ensure that our Financial Professionals get best-in-class service in every interaction with Osaic.

The ideal Supervisor of Ops Processing must be capable of succeeding in a fast-paced team environment and possess a passion for elevating the advisor’s experience. This position’s primary objective is to manage a group of individual processors who are responsible for the transition processing of new Financial Professionals to 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:

• Lead a team of Operations Processing Specialists that will transition the business of new Osaic Financial Professionals.
• Set team goals, establish vision and take action to achieve goals.
• Effectively coach, in a diversity of ways, to drive team results for advisor satisfaction, service, quality, and productivity aligned to department objectives
• Provide timely coaching, training, and total performance management
• Have a keen focus on employee engagement while balancing productivity
• Develop and maintain internal relationships
• Identify and take responsibility for addressing operational and organizational challenges that impact the team
• Effectively adopt changing business needs and guide employees through shifting priorities
• Actively seek opportunities to expand own sphere of influence through networking, knowledge sharing, and collaboration

Basic Requirements:

• Minimum 5 years support experience or relevant experience with other firms
• Extensive experience and comfort level with engaging and supporting the needs of high producing Financial Professionals
• Exceptional oral and written communication skills with a strong attention to detail
• Ability to display relentless poise in a fast/high pressure and demanding environment with a heightened level of advisor dedication
• Outstanding professional presence and positive customer service attitude
• Working knowledge of Margin Calls, Cash Dues, Reorganization inquiries, restricted stock, and pending papers transactions
• Strong interaction with clearing firms and external vendors on routine brokerage and non-brokerage account platform
• Successful track record of customer-centric decision making
• Ability to cope with and persevere through frequent and unexpected changes

• Excellent organizational skills, with the ability to handle multiple tasks

Preferred Requirements:

• At least 2 years management experience required with demonstrated ability to develop people, at different performance levels, via established performance objectives, regular feedback, and appropriate recognition
• 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.