Operations Processing Specialist

Advisor Group•Scottsdale, AZ

1d•Onsite

About The Position

Osaic is hiring a full-time, non-exempt Operations Processing Specialist for Alternative Investments. The position is part of a team responsible for accurate, timely, and efficient processing of routine and complex brokerage operations transactions involving life events. Examples include age-of-majority or termination requests, beneficiary discrepancies and claims, foreign beneficiaries, power-of-attorney documents, divorce settlements, account opening and closure, and movement of money or assets. The specialist also serves as a backup resource for coworkers and responds flexibly to changes in workflow. The role requires working in the office at least four days per week according to an assigned schedule. Osaic is not considering remote candidates. Available office locations are Atlanta, Georgia; La Vista, Nebraska; Oakdale, Minnesota; Scottsdale, Arizona; and St. Petersburg, Florida. The stated salary range is $45,000–$49,000 per year, plus an annual performance-based bonus. Actual compensation depends on job-related factors including location, skills, licensure, experience, and education.

Requirements

High school diploma or GED.
Two to three years of related or transferable work experience; financial services experience is preferred.
Proficiency with Microsoft Word, Excel, Internet Explorer, Outlook, and PowerPoint.
Excellent communication and organizational skills.
Ability to thrive in a fast-paced, entrepreneurial environment.
Strong customer focus.
High attention to detail, an analytical mindset, and problem-solving skills.
Ability to work independently while maintaining high levels of quality.
Ability to remain focused and work under pressure.
Ability to contribute to a team environment.
Ability to become proficient with NetX360+, Wealthscape, Front-End Imaging (FEI), Salesforce contact management and imaging workflow systems, and other back-office functions.
Ability to acquire and retain knowledge of securities industry rules and brokerage account operations best practices.
Strong organizational and time-management skills.
Ability to meet the requirement to work in the office at least four days per week.

Nice To Haves

Two or more years of experience in financial services operations or a broker-dealer setting.
Bachelor's degree in business, finance, or a related field.
CRM or Salesforce experience.
Completion of the FINRA SIE exam.
FINRA Series 7 license.

Responsibilities

Review, process, and follow up on life-event requests, including foreign beneficiaries, beneficiary claims or disclaimers, trades after an account holder's death, account restrictions, divorce situations, see-through trusts, and powers of attorney.
Handle account opening through account closure, including internal and external asset movement or transfers involving foreign beneficiaries.
Review and understand the securities and holdings in accounts.
Understand account types and explain appropriate next steps to financial professionals concerning deceased accounts.
Serve as a subject matter expert for several responsibilities within Brokerage Operations.
Use judgment to determine when to escalate issues to a manager or supervisor.
Cross-train on department functions and provide backup for coworkers, adapting to increases in workflow.
Work with clearing firms and financial professionals on routine and complex brokerage account processing requests.
Provide timely updates and statuses in contact management and workflow systems.
Understand clearing firm processes and policies as well as internal policies and procedures.
Build strong working relationships with vendors, internal stakeholders, and financial professionals.
Keep current with changes to industry and business processes.
Make outbound calls to financial professionals as needed.
Perform other duties as assigned.