Osaic

Operations Processing Specialist I

Osaic

full-time

Posted on:

Location Type: Hybrid

Location: Atlanta • Arizona • Florida • United States

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Salary

💰 $42,000 - $45,000 per year

About the role

  • Provide a high level of service and support to independent financial advisors nationwide
  • Review, process and follow up on a variety of complex brokerage and non-brokerage account requests
  • Act as subject matter expert for several different responsibilities within brokerage Operations
  • Act as back-up to co-workers and senior processors through cross-training on all department functions
  • Interact with clearing firm on routine brokerage account processing requests; provide timely updates and statuses in contact management and workflow systems
  • Answer internal and external phone calls; make outbound phone calls to our advisors
  • Update contact management systems with professional grammar and spelling
  • Exercise judgment to know when to escalate issues to manager or supervisor
  • Ability to process work from multiple operations classifications with a high degree of accuracy
  • Act as a back-up for Operations Team Lead for escalated service requests and phone calls
  • Assist in training and mentoring new hires
  • Work closely with Operations Supervisor and Team Lead to ensure escalations are resolved
  • Participate with projects and system testing as needed
  • Identify and recommend opportunities for improving existing procedures, training manuals and other improvements
  • Create a strong working relationship with vendors, internal stakeholders and advisors
  • Keep up to date on changes to industry and business processes
  • All other duties as assigned

Requirements

  • 3+ years’ experience in financial services operations or broker-dealer setting
  • Critical thinking and high level of attention to details
  • Proficiency at Microsoft Word, Excel, Edge, Chrome, Outlook, OneNote, Teams
  • Must become proficient with CAIS, NetX360, Wealthscape, Front-End Imaging (FEI), Support Center (contact management and imaging workflow systems), eQuipt and other assigned back office functions
  • Must acquire and retain knowledge of securities industry rules and best practices regarding brokerage account operations
  • Must have strong organizational and time management skills
  • Must be able to work independently and maintain elevated levels of quality
  • Ability to participate and contribute to a team environment
  • Ability to work overtime, including weekends, as needed to support heavy work volume when applicable
Benefits
  • health, vision, dental insurance
  • 401k
  • paid time away
  • volunteer days
  • annual performance-based bonus
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
financial services operationsbroker-dealer operationscontact management systemsworkflow systemsMicrosoft WordMicrosoft ExcelMicrosoft OutlookMicrosoft TeamsCAISNetX360
Soft Skills
critical thinkingattention to detailorganizational skillstime managementindependenceteam collaborationmentoringcommunicationproblem-solvingescalation management