Operations Processing Specialist

Advisor Group•Scottsdale, AZ

1d•Onsite

About The Position

We are seeking a detail-oriented Processing Specialist to join our Financial Services team, supporting the efficient and accurate handling of brokerage account documentation. In this role, you will be responsible for reviewing, validating, and processing a variety of client account requests—including account openings, transfers, maintenance money movement, and regulatory documentation—while ensuring compliance with firm policies and industry standards. At the core of this role is a commitment to delivering an exceptional service experience. You will act as a trusted partner to both financial professionals and internal stakeholders—prioritizing responsiveness, accountability, and clear communication. Success in this position requires a proactive mindset, a willingness to go above and beyond, and a genuine dedication to helping others. Starting your career within Osaic’s Processing Center provides a strong foundation for long-term growth within the firm. In this role, you’ll build a deep base of knowledge by supporting financial professions and their teams, learning core operational processes, and developing expertise across Osaic’s platforms, products, and policies. The Operations Center is designed as an entry point to the organization, offering hands-on experience, ongoing training, and exposure to multiple areas of the business. As you develop your skills and discover your strengths, you’ll have opportunities to expand your responsibilities and explore diverse career paths across Osaic, shaping a future that aligns with your ambitions and potential.

Requirements

Customer-focused mindset
Attention to detail and accuracy
Problem-solving and critical-thinking skills
Time management and organizational skills
Motivated individuals looking to grow a career in the Financial Services industry
Proficient with Windows Microsoft Excel, Word, Outlook and Internet
Ability to read & interpret company policies, operations manuals, & technical guides

Nice To Haves

For new graduates: internship, co-op experience, prior work experience
1 years’ experience of brokerage experience
Completion of the FINRA SIE exam
FINRA Series 7
Experience with Envestnet / Wealth Management Platform
Bachelor’s degree in business, Finance or related field is preferred
Prior Experience or Exposure Including: Financial Services, Investment Advisory, Billing, Accounting, Customer Service, Advisor Support, Client Support, Operations Support, Account Management, Broker-Dealer, Financial Advisor, Support Representative, Customer Service Representative, Back Office Operations

Responsibilities

Process brokerage account documents with a high degree of accuracy and within established service level timelines
Review incoming documentation for completeness, ensuring all required fields, signatures, and supporting materials are present
Validate transactions against firm policies, industry regulations, and compliance standards
Identify and resolve discrepancies, missing information, or errors prior to processing
Ensure strict adherence to regulatory requirements (e.g., KYC, AML, and account registration rules)
Maintain precise records and audit trails for all processed transactions
Prioritize workload effectively to meet deadlines in a high-volume processing environment
Collaborate with internal partners to clarify requests and facilitate timely resolution
Continuously monitor for risk and escalate potential compliance issues when identified
Apply strong attention to detail to minimize errors and uphold data integrity across systems
Interact with financial advisors, clearing firms, custodians, and other external partners on routine and complex account transfer requests.
Provide timely and accurate status updates within contact management and workflow systems.
Make outbound phone calls to financial professionals as needed to resolve transfer issues and communicate status updates.
Build and maintain strong working relationships with vendors, internal stakeholders, and financial professionals.
Maintain a strong understanding of clearing firm processes and policies and how they align or differ from internal procedures.
Act as back‑up support to co‑workers by cross‑training on all department functions and demonstrating flexibility during periods of increased workflow.
Remain current on changes to industry regulations, clearing firm procedures, and internal business processes.
Perform additional duties as assigned.
Answer inbound calls from financial professionals in a courteous, professional, and timely manner
Respond to questions regarding accounts, products, services, and procedures
Research and resolve issues efficiently, escalating complex matters as needed
Document all interactions accurately in internal systems
Work closely with internal teams to resolve inquiries and improve service delivery
Identify trends or recurring issues and provide feedback to leadership
Contribute to a positive team environment and customer-focused culture