Operations Processing Specialist

advisorgroup; Scottsdale (AZ); On-site; USD 45,000 - 49,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time off

Volunteer days

Job summary

Osaic seeks an Operations Processing Specialist in Scottsdale to handle account openings, maintenance, sponsor changes, and related brokerage operations tasks. This role supports independent advisors nationwide with accuracy and timely processing.

The position requires a four-day in-office commitment, strong communication, and mastery of multiple back-office systems. Benefits include health, vision, dental, and 401k.

Qualifications

• Bachelor's degree preferred or high school diploma with equivalent experience.
• 3+ years of work experience in financial services.
• Proficiency with Microsoft Word, Excel, Edge, Chrome, Outlook, OneNote, Teams.
• Must learn and use NetX360, Wealthscape, FEI, Salesforce, eQuipt and related back-office tools.
• Strong written and verbal communication and time-management skills.
• Ability to work independently and in a team, including overtime when needed.

Responsibilities

• Provide high level service and support to independent financial advisors nationwide.
• Review, process and follow up on complex brokerage/account requests.
• Serve as subject matter expert for brokerage Operations responsibilities.
• Back-up to coworkers through cross-training on department functions.
• Interact with clearing firm on routine account processing; provide timely updates.
• Answer internal and external calls; make outbound calls to advisors.
• Update contact management systems with professional grammar and spelling.
• Elevate issues to manager when necessary.
• Process work from multiple operation classifications accurately.
• Back-up for Operations Team Lead for escalated service requests.
• Assist in training and mentoring new hires; participate in system testing.
• Identify opportunities to improve procedures and training materials.
• Build relationships with vendors and internal stakeholders.
• Stay up-to-date on industry changes.

Skills

Communication

Organizational skills

Microsoft Office

Teamwork

Overtime availability

Education

Bachelor's degree preferred

Tools

NetX360

Wealthscape

Front-End Imaging (FEI)

Salesforce

eQuipt

Job description

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 requires a minimum of four (4) days per week working in the office. Applicants must be able to meet this in-office attendance requirement based on an assigned schedule, regardless of your commuting distance or personal travel time to the designated office location.

Osaic is not considering remote candidates at this time.

Role Type: Full-time, Non-Exempt

Salary: $45,000 - $49,000 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: https://careers.osaic.com/benefits

Summary:

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.

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
• Ability to 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
• Participating with projects and system testing as needed
• Identify and recommend opportunities for improving existing procedures, training manuals and other 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

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.

Basic Requirements:

• 3+ years of work experience in financial services.
• Proficiency at Microsoft Word, Excel, Edge, Chrome, Outlook, OneNote, Teams.
• Excellent communication & organizational skills.
• Must become proficient with the following systems: NetX360, Wealthscape, Front-End Imaging (FEI), Salesforce (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:

• 3+ years' experience in financial services operations or broker-dealer setting.
• FINRA Series 7 license a plus.