Operations Processing Opportunity in Financial Services

Operations Processing Specialist – Document Services

Training Class Start Date 11/3/2025

Location(s):

Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

Osaic is not considering remote candidates at this time.

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

You will spend the first several weeks in training.  The schedule for training most likely will be different than your ultimate assigned schedule as the virtual training is set up covering all three time zones at once.  

Role Type:        Full-time, Non-Exempt

Salary:  $45,000 - $60,000 per year + annual performance-based bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

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: 

https://careers.osaic.com/Creative/Benefits 

Summary:

The Operations Processing Specialist will be part of a team responsible for the accurate, timely and efficient processing of incoming and outgoing mail pertaining to client account opening, account maintenance, rep changes, sponsor company changes and supporting the day-to-day activities associated within Brokerage Operations

Education Requirements:

High school diploma or equivalent is required

Responsibilities:

• Physically review and prepare incoming and return mail for processing.

• Scanning, printing and making copies of documents.

• Provide a high level of service and support to independent financial advisors nationwide.

• Review, process and follow up on various brokerage and non-brokerage account requests. 

• Must act as subject matter expert for several different responsibilities within brokerage Operations.  

• Act as back-up to co-workers by cross-training on all department functions and demonstrate flexibility to respond to influx of workflow.  

• Interact with clearing firm on routine brokerage account processing requests; provide timely updates and statuses in contact management and workflow systems

• Pay close attention to detail, process work accurately and work on repetitive tasks

• 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. 

• Flexibility is required to respond to increases in workflow.

• All other duties as assigned.

Basic Requirements:

• 2-3 years relatable or transferable work experience; financial services experience preferred

• Must be proficient in the following Microsoft programs: Excel, Word, Outlook, Edge, OneNote, Teams

• Must become proficient with the following systems: NetX360, Wealthscape, Front-End Imaging (FEI), Salesforce (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 and have strong organizational and time management skills.

• Must be team-oriented and client-focused.

• Ability to work overtime, including weekends, as needed to support heavy work volume when applicable.

Preferred Requirements:

• 2+ years' experience in financial services operations or broker-dealer setting.

• FINRA Series 7 license a plus