Principal - Customer Support, Financial Services

About the role

Osaic is hiring a Principal for its customer-facing organization, working remotely. You will support over 11,000 Financial Professionals across the country by performing administrative and sales support duties for Investment Executives, verifying compliance of transactions and documentation. The role is full-time, non-exempt, with a stated salary of $70,000 per year plus an annual performance-based bonus.

Key responsibilities

• Validate client documents for compliance, completeness and accuracy.
• Handle requests by phone, through the Service Center or the document management system, including executing trades as needed.
• Maintain electronic client files and documentation on a proprietary web-based software system.
• Provide a high level of service and responsiveness to customers.
• Suggest and implement new policies and procedures based on business and regulatory changes.
• Determine the appropriateness of client accounts and trades, and recommend policies for approving or declining account and trade suitability.
• Perform other duties as assigned.

Required profile

• High school diploma or equivalent; a bachelor's degree is preferred, though significant experience may be considered in its place.
• Minimum of 1-2 years of related experience; 3+ years in financial services operations or a broker-dealer setting is preferred.
• FINRA Series 7 and Series 24 licenses preferred; completion of the FINRA SIE exam is preferred.
• Ability to work independently, meet deadlines and contribute to a team.

Required skills

• Proficiency in Microsoft Word, Excel, Outlook and PowerPoint.
• Basic technical skills to navigate various systems quickly.
• Excellent communication and organizational skills, strong attention to detail and analytical mindset.
• CRM or Salesforce experience preferred.

What we offer

• Health, vision and dental insurance.
• 401k and paid time off.
• Volunteer days and additional benefits.