Operations Processing Specialist

Osaic Careers

Customer Service Opportunity in Financial Services

Operations Processing Specialist - Alternative Investments

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 requires a minimum of four (4) days per week working in the office. Applicants must be able to meet this in-office attendance requirement based on an assigned schedule, regardless of your commuting distance or personal travel time to the designated office location.

Osaic is not considering remote candidates at this time.

Role Type: Full-time, Non-Exempt

Salary: $45,000 - $49,000 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.

Summary:

The Operations Processing Specialist will be part of a team responsible for the accurate, timely and efficient processing of routine and complex transactions involving client account opening, account maintenance, rep changes, sponsor company changes and supporting the day-to-day activities associated within Brokerage Operations.

Responsibilities:

• Provide a high level of service and support to independent financial advisors nationwide
• Review, process and follow up on a variety of complex brokerage and non-brokerage account requests
• Act as subject matter expert for several different responsibilities within brokerage Operations
• Act as back-up to co-workers and senior processors through cross-training on all department functions
• Interact with clearing firm on routine brokerage account processing requests; provide timely updates and statuses in contact management and workflow systems
• 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 escalate issues to manager or supervisor
• Ability to process work from multiple operations classifications with a high degree of accuracy
• Act as a back-up for Operations Team Lead for escalated service requests and phone calls
• Assist in training and mentoring new hires
• Work closely with Operations Supervisor and Team Lead to ensure escalations are resolved
• Participating with projects and system testing as needed
• Identify and recommend opportunities for improving existing procedures, training manuals and other improvements
• Create a strong working relationship with vendors, internal stakeholders and advisors
• Keep up to date on changes to industry and business processes
• 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:

• 3+ years of work experience in financial services.
• Proficiency at Microsoft Word, Excel, Edge, Chrome, Outlook, OneNote, Teams.
• Excellent communication & organizational skills.
• Must become proficient with the following systems: NetX360, Wealthscape, Front-End Imaging (FEI), Salesforce (contact management and imaging workflow systems), eQuipt and other assigned back-office 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.
• Be able to work independently and maintain elevated levels of quality.
• 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:

• 3+ years’ experience in financial services operations or broker-dealer setting.
• FINRA Series 7 license a plus.