Transitions Processing Specialist

Advisor Group Inc.; La Vista (NE); Hybrid; USD 50,000 - 55,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time off

Job summary

Advisor Group Inc. is seeking a Transition Processing Specialist to ensure accurate, timely handling of client account paperwork during openings, changes, and sponsor updates.

You will compile documents from transitioning professionals, prepare client-ready signatures, and maintain compliance across brokerage operations. Located primarily at our La Vista hub with other US locations, this hybrid role requires 4 days in office weekly and offers a competitive salary plus performance-based bonus.

Qualifications

• Bachelor’s degree preferred; high school diploma or equivalent accepted with experience.
• 2-3 years relatable work experience; financial services experience preferred.
• Proficiency with MS Word, Excel, Outlook, PowerPoint.
• Knowledge of securities industry rules and brokerage operations.

Responsibilities

• Review data provided by financial professionals and generate all necessary paperwork for client signature.
• Provide a high level of service to independent financial advisors nationwide.
• Review, process and follow up on various brokerage and non-brokerage account requests.
• Act as subject matter expert for several different responsibilities within brokerage Operations.
• Cross-train to support workload and assist teammates.
• Interact with clearing firm on routine brokerage account processing requests; provide timely updates in systems.

Skills

Microsoft Office

Communication

Attention to detail

Time management

Customer focus

Teamwork

Education

Bachelor's degree preferred

High school diploma or equivalent

Finance/Business degree preferred

Tools

NetX360

Wealthscape

Front-End Imaging (FEI)

Salesforce

eQuipt

Job description

Location(s)

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

Work Schedule

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. Remote internals also encouraged to apply.

Role Type & Salary

Role Type: Full-time, Non-Exempt

Salary: $50,000 - $55,000 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.

Benefits

• Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more.

Summary

The Transition Processing Specialist will be part of a team responsible for the accurate, timely and efficient processing of incoming and outgoing paperwork pertaining to client account opening, account maintenance, rep changes, sponsor company changes and supporting the day-to-day activities associated within Brokerage Operations. This role is also responsible for taking client data provided by transitioning financial professionals, opening accounts and creating paperwork for client signature.

Responsibilities

• Reviewing data provided by financial professionals and generating all necessary paperwork to client for signature.
• Provide a high level of service and support to independent financial advisors nationwide.
• Review, process and follow up on various brokerage and non-brokerage account requests.
• Must act as subject matter expert for several different responsibilities within brokerage Operations.
• Act as back-up to co-workers by cross-training on all department functions and demonstrate flexibility to respond to influx of workflow.
• Interact with clearing firm on routine brokerage account processing requests; provide timely updates and statuses in contact management and workflow systems
• Pay close attention to detail, process work accurately and work on repetitive tasks
• 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.
• Flexibility is required to respond to increases in workflow.
• 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

• 2-3 years relatable or transferable work experience; financial services experience preferred
• Proficiency at Microsoft Word, Excel, Internet Explorer, Outlook, PowerPoint.
• Must become proficient with the following systems: NetX360, Wealthscape, Front-End Imaging (FEI), Salesforce (contact management and imaging workflow systems), eQuipt and other assigned backoffice 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.
• 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.
• Ability to work overtime, including weekends, as needed to support heavy work volume when applicable.

Preferred Requirements

• 2+ 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.
• FINRA Series 7 license, other FINRA licenses.
• Experience with Smartsheets
• Experience with Envestnet / Wealth Management Platform