Transitions Processing Specialist

Osaic; Oakdale (MN); Hybrid; USD 50,000 - 55,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time off

Volunteer days

Job summary

Osaic is seeking a Transition Processing Specialist to ensure accurate processing of client account opening and maintenance paperwork. You will handle sponsor company changes and day-to-day brokerage operations tasks, working with transitioning professionals to prepare documentation for client signatures.

In this role, you will support independent financial advisors nationwide, act as a subject matter expert, and cross-train to cover multiple functions as workload fluctuates.

Qualifications

• Bachelor's degree preferred; high school diploma or equivalent with experience considered.
• 2-3 years relatable work experience; financial services experience preferred.
• Must become proficient with key systems (NetX360, Wealthscape, FEI, Salesforce, eQuipt).
• Strong organizational and time management skills; knowledge of securities industry rules.

Responsibilities

• Review data from financial professionals and generate all necessary paperwork for client signatures.
• Provide high level service and support to independent financial advisors nationwide.
• Review, process and follow up on brokerage and non-brokerage account requests.
• Serve as subject matter expert for multiple brokerage Operations responsibilities.
• Cross-train to back-up coworkers and handle increased workflow.

Skills

Microsoft Word

Microsoft Excel

PowerPoint

Communication

Organization

Customer focus

Attention to detail

Independence

Education

Bachelor's degree preferred

High school diploma or equivalent required

Tools

NetX360

Wealthscape

Front-End Imaging (FEI)

Salesforce

eQuipt

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