Operations Processing Specialist

Current Employees and Contractors Apply Here Osaic CareersCustomer Service Opportunity in Financial ServicesOperations Processing SpecialistNew Graduates Will Be ConsideredLocation(s):Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339La Vista:12325 Port Grace Blvd, La Vista, NE 68128Oakdale: 7755 3rd St. N, Oakdale, MN 55128Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702Osaic 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-ExemptSalary: $43,000 - $48,000 per year + annual performance-based bonusActual 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: Osaic Benefits .Summary: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.Education Requirements:High School Diploma or equivalent (GED) requiredResponsibilities:Operations ProcessingProcess brokerage account documents with a high degree of accuracy and within established service level timelinesReview incoming documentation for completeness, ensuring all required fields, signatures, and supporting materials are presentValidate transactions against firm policies, industry regulations, and compliance standardsIdentify and resolve discrepancies, missing information, or errors prior to processingEnsure strict adherence to regulatory requirements (e.g., KYC, AML, and account registration rules)Maintain precise records and audit trails for all processed transactionsPrioritize workload effectively to meet deadlines in a high-volume processing environmentCollaborate with internal partners to clarify requests and facilitate timely resolutionContinuously monitor for risk and escalate potential compliance issues when identifiedApply strong attention to detail to minimize errors and uphold data integrity across systemsClient, Advisor & Clearing Firm InteractionInteract 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.Operational Excellence & CrossFunctional SupportMaintain a strong understanding of clearing firm processes and policies and how they align or differ from internal procedures.Act as backup support to coworkers by crosstraining 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.Customer Support & Phone InquiriesAnswer inbound calls from financial professionals in a courteous, professional, and timely mannerRespond to questions regarding accounts, products, services, and proceduresResearch and resolve issues efficiently, escalating complex matters as neededDocument all interactions accurately in internal systemsCollaboration & Continuous ImprovementWork closely with internal teams to resolve inquiries and improve service deliveryIdentify trends or recurring issues and provide feedback to leadershipContribute to a positive team environment and customer-focused cultureBasic Requirements:Customer-focused mindsetAttention to detail and accuracyProblem-solving and critical-thinking skillsTime management and organizational skillsMotivated individuals looking to grow a career in the Financial Services industryProficient with Windows Microsoft Excel, Word, Outlook and InternetAbility to read & interpret company policies, operations manuals, & technical guidesPreferred Requirements:For new graduates: internship, co-op experience, prior work experience1 years' experience of brokerage experienceCompletion of the FINRA SIE examFINRA Series 7Experience with Envestnet / Wealth Management PlatformBachelor's degree in business, Finance or related field is preferredPrior 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 OperationsCurrent Employees and Contractors Apply Here