Principal

Osaic; Saint Petersburg (FL); On-site; USD 63,000 - 77,000; Full time

Benefits offered by this job

Health insurance

Vision and dental insurance

401k

Paid time away

Job summary

Osaic is seeking a Principal Customer Service professional for a remote, full-time role focused on supporting 11,000+ Financial Professionals nationwide. You will perform administrative and sales support duties, verify compliance, and ensure timely execution.

Ideal candidates have a Bachelor’s degree or equivalent experience, 1–2 years in related roles, and strong Microsoft Office skills. FINRA licenses and a customer-first mindset are valued for success.

Qualifications

• 1–2 years minimum of related experience.
• Proficiency with Microsoft Office suite.
• FINRA Series 7 & 24 license.
• Bachelor's degree preferred would be advantageous.

Responsibilities

• Validate client documents for compliance, completeness, and accuracy.
• Maintain electronic client files/documentation on proprietary web-based software system.
• Provide the highest level of service and responsiveness to customers, ensuring client satisfaction.
• Suggest and implement new policies and procedures based on business and regulatory changes.
• Use experience and knowledge to determine appropriateness of client accounts and trades.
• Recommend policies and procedures pertaining to approving and/or declining suitability of accounts and trades for clients.
• All other duties as assigned.

Skills

Customer focus

Communication

Organizational skills

Attention to detail

Problem solving

Team player

Self-motivated

Independent

Education

Bachelor's degree preferred

High school diploma or equivalent

Tools

Microsoft Word

Microsoft Excel

PowerPoint

Outlook

Internet Explorer

Job description

Customer Service Opportunity in Financial Services

Principal

Location(s): Remote

Role Type: FT/Non-Exempt

Salary: 70,000.00 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 customer-facing organization, you will engage directly with our customers – over 11,000 Financial Professionals across the country, helping grow and support their firms. Working in a team environment, you will perform a wide variety of administrative and sales support duties supporting Investment Executives verifying compliance of transactions and documentation. 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

• Validate client documents for compliance, completeness, and accuracy. Handle requests via phone, Service Center, or document management system including executing trades as needed. Attention to established policies and procedures to ensure accuracy of execution and timeliness with respect to market deadlines is essential.
• Maintain electronic client files/documentation on proprietary web-based software system
• Provide the highest level of service and responsiveness to customers, ensuring client satisfaction continues to be a distinguishing selling point for Osaic Institutions in our market space.
• Suggest and implement new policies and procedures based on business and regulatory changes.
• Use experience and knowledge to determine appropriateness of client accounts and trades.
• Recommend policies and procedures pertaining to approving and/or declining suitability of accounts and trades for clients.
• All other duties as assigned.

Basic Requirements

• 1-2 years minimum of related experience
• 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.
• FINRA Series 7 & 24 license

Preferred Requirements

• 3+ 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.
• 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 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.