Sr Ops Processing Specialist

Overview

Sr. Operations Processing Specialist - New Accounts at Osaic

Location(s): Atlanta, GA;
La Vista, NE;
Oakdale, MN;
Scottsdale, AZ;
St. Petersburg, FL. Osaic is not considering remote candidates at this time. 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.

Role Type: Full-time, Non-Exempt

Salary: $50,000-$53,000 per year plus annual performance-based bonus. Actual compensation offered will be determined individually based on location, skills, licensure, experience, and education.

Benefits: Health, vision, dental insurance, 401k, paid time away, volunteer days and more. For details, visit our careers page.

Note: Current Employees and Contractors Apply Here.

The Sr. 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 within Brokerage Operations.

Bachelor's degree preferred; high school diploma (or equivalent) with significant experience will be considered in lieu of a degree. Minimum of a high school diploma or equivalent is required.

• 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.
• Back-up 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.
• Process work from multiple operations classifications with a high degree of accuracy.
• 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.
• Participate in projects and system testing as needed.
• Identify and recommend opportunities for improving existing procedures, training manuals and other improvements.
• Create strong working relationships with vendors, internal stakeholders and advisors.
• Keep up to date on changes to industry and business processes.
• All other duties as assigned.

• 3+ years of work experience in financial services.
• Critical thinking and high attention to detail.
• Proficiency with Microsoft Word, Excel, Edge, Chrome, Outlook, One Note, Teams.
• Excellent communication and organizational skills.
• Proficiency with systems: CAIS, NetX
  360, Wealthscape, Front-End Imaging (FEI), Support Center (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; strong organizational and time management skills.
• Ability 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.

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