Remote Investment Operations Associate

Advisor Group Inc.; Meriden (CT); On-site; USD 65,000 - 75,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time away

Volunteer days

Job summary

Osaic is seeking a customer-facing professional to support 11,000 Financial Professionals nationwide. The role involves verifying compliance, handling trades, and maintaining electronic client records with accuracy and timeliness.

You will contribute to best-in-class service across the organization and collaborate with teammates to ensure efficient processes. Your duties include document validation, responding to inquiries, and supporting investment executives while adhering to policies and

Qualifications

• 1-2 years minimum of related experience.
• Proficiency with Microsoft Office Suite.
• Excellent communication and organizational skills.
• FINRA Series 7 & 24 license.
• Ability to work independently and meet deadlines.
• Self-motivated and team-oriented.

Responsibilities

• Validate client documents for compliance, completeness, and accuracy.
• Handle requests via phone, Service Center, or document management system including executing trades as needed.
• Maintain electronic client files and documentation on proprietary web-based software.
• Provide high level of service and responsiveness to customers; ensure client satisfaction.
• Suggest and implement new policies and procedures based on business and regulatory changes.
• Assess appropriateness of client accounts and trades; determine suitability.
• Recommend policies regarding approving/declining suitability of accounts and trades.
• All other duties as assigned.

Skills

Customer service

Communication skills

Attention to detail

Analytical mindset

Independence

Team collaboration

Education

Bachelor’s degree preferred

High school diploma required

Tools

Microsoft Word

Excel

Outlook

PowerPoint

Salesforce

Job description

Osaic is seeking a customer-facing professional to support 11,000 Financial Professionals nationwide. The role involves verifying compliance, handling trades, and maintaining electronic client records with accuracy and timeliness.

You will contribute to best-in-class service across the organization and collaborate with teammates to ensure efficient processes. Your duties include document validation, responding to inquiries, and supporting investment executives while adhering to policies and