Operations Processing Specialist

Advisor Group Inc.; Scottsdale (AZ); On-site; USD 43,000 - 48,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401(k)

Paid time away

Volunteer days

Job summary

Advisor Group Inc. is seeking a Processing Specialist to join the Financial Services team in Scottsdale, AZ. This position focuses on accurately handling brokerage account documentation, including account openings and transfers, while ensuring compliance with industry standards.

The ideal candidate must have a customer-focused mindset, excellent attention to detail, and a high school diploma. Additional benefits include a competitive salary range and various health insurances.

Qualifications

• Motivation to grow a career in the Financial Services industry.
• Skills in reading and interpreting policies and technical guides.
• Internship or co-op experience preferred for new graduates.

Responsibilities

• Process brokerage account documents with high accuracy.
• Interact with financial advisors and external partners.
• Perform additional duties as assigned.
• Answer inbound calls and respond to account inquiries.
• Contribute to a positive team environment.

Skills

Customer-focused mindset

Attention to detail

Problem-solving

Time-management

Organizational skills

Proficiency with Windows

Proficiency in Microsoft Excel

Proficiency in Microsoft Word

Proficiency in Outlook

Ability to interpret policies

Education

High School Diploma or equivalent (GED)

Bachelor’s degree in business, finance, or related field

Job description

Job Summary

Osaic is seeking a detail-oriented Processing Specialist to join our Financial Services team, supporting the efficient and accurate handling of brokerage account documentation. The role involves reviewing, validating, and processing client account requests—including account openings, transfers, maintenance money movement, and regulatory documentation—while ensuring compliance with firm policies and industry standards.

Location & Office Requirements

Locations: Atlanta, GA – 2300 Windy Ridge Pkwy SE, Suite 750; La Vista, NE – 12325 Port Grace Blvd; Oakdale, MN – 7755 3rd St. N; Scottsdale, AZ – 18700 N Hayden Rd, Suite 255; St. Petersburg, FL – 877 Executive Center Dr. W, Suite 300. Osaic requires a minimum of four (4) days per week working in the office and does not consider remote candidates.

Compensation & Benefits

Salary: $43,000 – $48,000 per year plus annual performance-based bonus. Additional benefits include health, vision, dental insurance, 401(k), paid time away, volunteer days, and more.

Responsibilities

• Operations Processing
  • Process brokerage account documents with high accuracy and within established service‑level timelines.
  • Review documentation for completeness, validate transactions against policies, identify and resolve discrepancies, and ensure compliance with KYC, AML, and account registration rules.
  • Maintain precise records and audit trails, prioritize workload, collaborate with internal partners, and monitor for risk.
• Client, Advisor & Clearing Firm Interaction
  • Interact with financial advisors, clearing firms, custodians, and other external partners for routine and complex account transfer requests.
  • Provide status updates, make outbound phone calls when needed, and maintain strong working relationships.
• Operational Excellence & Cross‑Functional Support
  • Understand clearing firm processes and policies, serve as backup support to co‑workers, and stay current on industry regulations.
  • Perform additional duties as assigned.
• Customer Support & Phone Inquiries
  • Answer inbound calls, respond to questions regarding accounts, products, and procedures, research and resolve issues, and document interactions accurately.
• Collaboration & Continuous Improvement
  • Work closely with internal teams to resolve inquiries, identify recurring issues, provide feedback to leadership, and contribute to a positive team environment.

Basic Requirements

• Customer-focused mindset.
• Attention to detail and accuracy.
• Problem‑solving and critical‑thinking skills.
• Time‑management and organizational skills.
• Motivation to grow a career in the Financial Services industry.
• Proficiency with Windows, Microsoft Excel, Word, Outlook, and Internet.
• Ability to read and interpret company policies, operations manuals, and technical guides.
• High School Diploma or equivalent (GED). (Additional education may be considered.)

Preferred Requirements

• For new graduates: internship or co‑op experience, prior work experience of 1 year in brokerage.
• Completion of the FINRA SIE exam.
• FINRA Series7 license.
• Experience with Envestnet / Wealth Management Platform.
• Bachelor’s degree in business, finance, or related field.
• Prior exposure to financial services, investment advisory, billing, accounting, customer service, advisor support, client support, operations support, account management, broker‑dealer, financial advisor, or support representative roles.