Ops Processing Specialist
Advisor Group, Oakdale, MN, United States
Operations Processing Specialist
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: $42,000‑$45,000 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.
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and more.
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 Bachelor’s degree preferred; high school diploma (or equivalent) with significant experience will be considered in lieu of a degree. Minimum of 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.
Act as back‑up to 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 elevate issues to manager or supervisor.
Process work from multiple operations classifications with a high degree of accuracy.
Act as a 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 improvements.
Create a strong working relationship 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’ experience in financial services operations or broker‑dealer setting.
Critical thinking and high level of attention to details.
Proficiency at Microsoft Word, Excel, Edge, Chrome, Outlook, OneNote, Teams.
Excellent communication & organizational skills.
Must become proficient with the following systems: CAIS, NetX360, Wealthscape, Front‑End Imaging (FEI), Support Center (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.
Be able 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
FINRA Series 7 license a plus. Completion of FINRA SIE exam.
Equal Opportunity Employer Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.
Eligibility Applicants for employment in the US must have valid work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the US by Osaic.
Unqualified Applications Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.
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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: $42,000‑$45,000 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.
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and more.
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 Bachelor’s degree preferred; high school diploma (or equivalent) with significant experience will be considered in lieu of a degree. Minimum of 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.
Act as back‑up to 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 elevate issues to manager or supervisor.
Process work from multiple operations classifications with a high degree of accuracy.
Act as a 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 improvements.
Create a strong working relationship 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’ experience in financial services operations or broker‑dealer setting.
Critical thinking and high level of attention to details.
Proficiency at Microsoft Word, Excel, Edge, Chrome, Outlook, OneNote, Teams.
Excellent communication & organizational skills.
Must become proficient with the following systems: CAIS, NetX360, Wealthscape, Front‑End Imaging (FEI), Support Center (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.
Be able 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
FINRA Series 7 license a plus. Completion of FINRA SIE exam.
Equal Opportunity Employer Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.
Eligibility Applicants for employment in the US must have valid work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the US by Osaic.
Unqualified Applications Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.
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