Operations Processing Specialist

About the role

We are seeking a detail-oriented Processing Specialist to join our Financial Services team, supporting the efficient and accurate handling of brokerage account documentation.

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 backup 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

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

Qualifications

• High School Diploma or equivalent (GED) required

Skills

• Strong attention to detail
• Excellent problem-solving and critical thinking skills
• Effective time management and organizational skills
• Proactive mindset and willingness to go above and beyond
• Genuine dedication to helping others

Benefits

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.