Overview
Sr. Operations Processing Specialist - New Accounts
at Osaic Location(s):
Atlanta, GA; La Vista, NE; Oakdale, MN; Scottsdale, AZ; St. Petersburg, FL. 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. Role Type:
Full-time, Non-Exempt Salary:
$50,000-$53,000 per year plus annual performance-based bonus. Actual compensation offered will be determined individually based on location, skills, licensure, experience, and education. Benefits:
Health, vision, dental insurance, 401k, paid time away, volunteer days and more. For details, visit our careers page. Note:
Current Employees and Contractors Apply Here. Summary
The Sr. 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 within Brokerage Operations. Education Requirements
Bachelor's degree preferred; high school diploma (or equivalent) with significant experience will be considered in lieu of a degree. Minimum of a 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. Back-up 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. Process work from multiple operations classifications with a high degree of accuracy. 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. Participate in projects and system testing as needed. Identify and recommend opportunities for improving existing procedures, training manuals and other improvements. Create strong working relationships 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 of work experience in financial services. Critical thinking and high attention to detail. Proficiency with Microsoft Word, Excel, Edge, Chrome, Outlook, OneNote, Teams. Excellent communication and organizational skills. Proficiency with systems: CAIS, NetX360, Wealthscape, Front-End Imaging (FEI), Support Center (contact management and imaging workflow systems), eQuipt and other assigned backoffice functions. Must acquire and retain knowledge of securities industry rules and best practices regarding brokerage account operations; strong organizational and time management skills. Ability 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
3+ years of experience in financial services operations or broker-dealer setting. FINRA Series 7 license is a plus.
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Sr. Operations Processing Specialist - New Accounts
at Osaic Location(s):
Atlanta, GA; La Vista, NE; Oakdale, MN; Scottsdale, AZ; St. Petersburg, FL. 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. Role Type:
Full-time, Non-Exempt Salary:
$50,000-$53,000 per year plus annual performance-based bonus. Actual compensation offered will be determined individually based on location, skills, licensure, experience, and education. Benefits:
Health, vision, dental insurance, 401k, paid time away, volunteer days and more. For details, visit our careers page. Note:
Current Employees and Contractors Apply Here. Summary
The Sr. 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 within Brokerage Operations. Education Requirements
Bachelor's degree preferred; high school diploma (or equivalent) with significant experience will be considered in lieu of a degree. Minimum of a 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. Back-up 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. Process work from multiple operations classifications with a high degree of accuracy. 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. Participate in projects and system testing as needed. Identify and recommend opportunities for improving existing procedures, training manuals and other improvements. Create strong working relationships 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 of work experience in financial services. Critical thinking and high attention to detail. Proficiency with Microsoft Word, Excel, Edge, Chrome, Outlook, OneNote, Teams. Excellent communication and organizational skills. Proficiency with systems: CAIS, NetX360, Wealthscape, Front-End Imaging (FEI), Support Center (contact management and imaging workflow systems), eQuipt and other assigned backoffice functions. Must acquire and retain knowledge of securities industry rules and best practices regarding brokerage account operations; strong organizational and time management skills. Ability 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
3+ years of experience in financial services operations or broker-dealer setting. FINRA Series 7 license is a plus.
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