Operations Processing Specialist

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.

Responsibilities

Operations Processing

- 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

Client, Advisor & Clearing Firm Interaction

- 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

Operational Excellence & Cross-Functional Support

- 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

Customer Support & Phone Inquiries

- 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

Collaboration & Continuous Improvement

- 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

Education Requirements

High School Diploma or equivalent (GED) required

Basic 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

Preferred Requirements

- 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

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. To view more details of what you can look forward to, visit our careers page: Osaic Benefits.