Transitions Processing Specialist

Advisor Group; Scottsdale (AZ); 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’s Transition Processing Specialist team handles the accurate, timely processing of client account openings, maintenance, rep changes and sponsor changes, supporting Brokerage Operations daily.

You will frame client data provided by transitioning professionals, open accounts, and create paperwork for client signatures while delivering high-level service to independent financial advisors nationwide in a hybrid office model. Occasional overtime and weekend coverage may be required.

Qualifications

• 2-3 years relatable or transferable work experience; financial services preferred.
• Proficiency with Microsoft Word, Excel, Outlook, PowerPoint.
• Must become proficient with NetX360, Wealthscape, FEI, Salesforce, eQuipt and other backoffice systems.

Responsibilities

• Review data provided by financial professionals and generate all necessary paperwork for client 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.
• Act as subject matter expert for several department responsibilities.
• Cross-train with coworkers and adapt to workflow surges.
• Interact with clearing firm on routine account processing requests and update systems.
• Maintain accuracy and attention to detail in repetitive tasks.
• Answer internal and external calls and make outbound calls to advisors.
• Update contact management systems with professional grammar and spelling.
• Escalate issues to management when needed.
• Be flexible to handle increased workflow.
• All other duties as assigned.

Skills

Financial services

Attention to detail

Customer focus

Communication skills

Time management

Education

Bachelor's degree preferred

High school diploma accepted with experience

Tools

NetX360

Wealthscape

Front-End Imaging (FEI)

Salesforce

eQuipt

Microsoft Word

Excel

PowerPoint

Outlook

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.

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 escalation 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

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.