Operations Processing Specialist

Osaic

Detail-oriented Processing Specialist in Financial Services supporting accurate handling of brokerage account documentation. Responsible for reviewing, validating, and processing client account requests with compliance at the forefront.

Posted 5/7/2026full-timeAtlanta • Arizona, Florida, Minnesota, New York • 🇺🇸 United StatesJunior💰 $43,000 - $48,000 per yearWebsite

About the role

Key responsibilities & impact

Process brokerage account documents with a high degree of accuracy and within established service level timelines
Review incoming documentation for completeness
Validate transactions against firm policies
Identify and resolve discrepancies or errors prior to processing
Ensure strict adherence to regulatory requirements
Maintain precise records and audit trails for all processed transactions
Prioritize workload effectively in a high-volume processing environment
Collaborate with internal partners to clarify requests
Continuously monitor for risk and escalate potential compliance issues
Interact with financial advisors, clearing firms, custodians, and other external partners on routine and complex account transfer requests
Provide timely and accurate status updates
Build and maintain strong working relationships with vendors and stakeholders
Remain current on changes to industry regulations and perform additional duties as assigned

Requirements

What you’ll need

High School Diploma or equivalent (GED) required
Customer-focused mindset
Attention to detail and accuracy
Problem-solving and critical-thinking skills
Time management and organizational skills
Proficient with Windows Microsoft Excel, Word, Outlook and Internet
Motivated individuals looking to grow a career in the Financial Services industry
For new graduates: internship, co-op experience, prior work experience
1 year of brokerage experience preferred
Completion of the FINRA SIE exam
FINRA Series 7 experience preferred
Bachelor’s degree in business, Finance or related field is preferred

Benefits

Comp & perks

health, vision, dental insurance
401k
paid time away
volunteer days
annual performance-based bonus

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

brokerage account processingtransaction validationregulatory compliancerecord maintenanceaudit trailsrisk monitoringaccount transfer processingproblem-solvingcritical thinkingattention to detail

Soft Skills

customer-focused mindsettime managementorganizational skillscollaborationrelationship buildingaccuracyprioritizationmotivationcommunicationdiscrepancy resolution

Certifications

FINRA SIE examFINRA Series 7