Principal

Principal Location(s): Remote
Role Type: Full-time, Non-Exempt

Pay

Salary: $70,000 per year + annual performance-based bonus

Benefits

• Health, vision, and dental insurance
• 401k retirement plan
• Paid time off
• Volunteer days

About the Role

As a member of our customer-facing organization, you will engage directly with our customers—over 11,000 Financial Professionals across the country—helping grow and support their firms. Working in a team environment, you will perform a wide variety of administrative and sales support duties, including verifying compliance of transactions and documentation. A collaborative and entrepreneurial approach will drive success as you learn and navigate all aspects of Financial Professional support. Your contributions will ensure that our Financial Professionals receive best-in-class service in every interaction with Osaic.

Responsibilities

• Validate client documents for compliance, completeness, and accuracy.
• Handle requests via phone, Service Center, or document management system, including executing trades as needed.
• Maintain strict adherence to established policies and procedures to ensure accuracy of execution and timeliness with respect to market deadlines.
• Maintain electronic client files/documentation on proprietary web-based software system.
• Provide the highest level of service and responsiveness to customers, ensuring client satisfaction remains a distinguishing selling point for Osaic.
• Suggest and implement new policies and procedures based on business and regulatory changes.
• Use experience and knowledge to determine appropriateness of client accounts and trades.
• Recommend policies and procedures pertaining to approving and/or declining suitability of accounts and trades for clients.
• Perform all other duties as assigned.

Requirements

• 1-2 years minimum of related experience.
• Proficiency in Microsoft Word, Excel, Internet Explorer, Outlook, and PowerPoint.
• Excellent communication and organizational skills.
• Quick learner with basic technical skills to efficiently navigate through various systems.
• Strong customer focus orientation.
• High attention to detail, analytical mindset, and problem-solving skills.
• Ability to work independently and maintain elevated levels of quality.
• Self-motivated individual capable of meeting departmental expectations and deadlines.
• Ability to participate and contribute to a team environment.
• FINRA Series 7 & 24 license.

Qualifications

• Bachelor’s degree preferred; high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.
• Minimum of high school diploma or equivalent is required.

Preferred Qualifications

• 3+ years' experience in financial services operations or broker-dealer setting.
• Bachelor's degree in business, Finance, or related field.
• CRM experience, particularly Salesforce.
• Completion of FINRA SIE exam.