Equity, Securities Operations

Advisor Group; Scottsdale (AZ); Hybrid; USD 55,000 - 70,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

401(k)

Job summary

Osaic is seeking a Customer Service professional to support equity trading across a nationwide network of Financial Professionals. You will handle trades, address inquiries, and help manage risk while delivering best-in-class service.

Role requires FINRA Series 7 & 63, strong communication, and a customer-focused mindset for a hybrid schedule with four in-office days weekly.

Qualifications

• 1+ years of customer service or contact center experience.
• FINRA Series 7 & 63 license required.
• Proficiency in Microsoft Word, Excel, Internet Explorer, Outlook, PowerPoint.
• Excellent communication and organizational skills.

Responsibilities

• Service the trading needs of representatives for the Osaic Advisor Network.
• Process and facilitate equity & option transactions from representatives.
• Field inquiries regarding general knowledge of securities, policies, quotes, and fees.
• Diligently process trade errors for firm and representatives.
• Timely review of transactions for alignment with market and firm guidelines.
• Prioritize information that needs immediate attention.
• Ensure timely follow-up concerning all issues and inquiries.
• Other duties as assigned.

Skills

Customer service

Communication

Problem-solving

Education

Bachelor's degree preferred

High school diploma or equivalent required

Tools

Microsoft Word

Excel

Outlook

PowerPoint

Salesforce / CRM

Job description

Customer Service Opportunity in Financial Services

Equity, Securities Operations

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

Salary

$55,000 - $70,000 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 member of our organization, you will engage directly with our over 11,000 Financial Professionals across the country, helping them grow and supporting their business. As part of the Equity Trading team, you will work with other team members in equity trading activities such as placing trades, processing trade errors and managing risk, along with providing educational and trade platform navigational guidance. 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

• Service the trading needs of representatives for the Osaic Advisor Network
• Process and facilitate equity & option transactions from representatives.
• Field inquiries regarding general knowledge of securities, policies, quotes, and fees
• Diligently process trade errors for firm and representatives
• Timely review of transactions for alignment with market and firm guidelines
• Prioritize information that needs immediate attention.
• Ensure timely follow-up concerning all issues and inquiries.
• Other duties as assigned.

Basic Requirements

• 1+ years of customer service or contact center experience.
• FINRA Series 7 & 63 license required
• 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

• 1+ 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.

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 and/or will not 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.