Transitions Processing Specialist

Osaic; La Vista (NE); Hybrid; USD 50,000 - 55,000; Full time

Benefits offered by this job

Health insurance

Vision and dental insurance

401k

Paid time away

Volunteer days

Hybrid work model

Job summary

Osaic is seeking a Transition Processing Specialist to join the Brokerage Operations team. You will handle accurate, timely processing of client account opening, maintenance, and changes, steering paperwork for signatures and supporting ongoing daily activities.

The role requires handling data from transitioning financial professionals, opening accounts, and creating client paperwork. A Bachelor's is preferred, with strong systems knowledge and customer focus.

Qualifications

• Bachelor's degree preferred; high school diploma (or equivalent) with significant experience considered.
• 2–3 years relatable or transferable work experience; financial services experience preferred.
• Proficiency with Word, Excel, Internet Explorer, Outlook, PowerPoint.

Responsibilities

• Review data provided by financial professionals and generate paperwork for client signature.
• Provide high level service and support to independent financial advisors nationwide.
• Review, process and follow up on brokerage and non-brokerage account requests.
• Act as subject matter expert for several responsibilities within Brokerage Operations.
• Cross-train with coworkers and adapt to high workflow periods.
• Interact with clearing firm on routine account processing and update systems.

Skills

Customer service

Attention to detail

Time management

Communication skills

Microsoft Office

Education

Bachelor's degree preferred

High school diploma or equivalent

Tools

NetX360

Wealthscape

Front‑End Imaging (FEI)

Salesforce

eQuipt

Smartsheets

Envestnet / Wealth Management Platform

Job description

Customer Service Opportunity in Financial Services

Transition Processing Specialist

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 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:

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.

Benefits:

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 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