Transition Processing Specialist

About the role

Osaic is hiring a Transition Processing Specialist for its financial services brokerage operations. The specialist works in a team that processes incoming and outgoing paperwork for client account openings, account maintenance, representative changes and sponsor company changes, and handles client data from transitioning financial professionals to open accounts and prepare paperwork for signatures. The role is full-time, non-exempt, paid $50,000-$55,000 per year plus an annual performance-based bonus, with actual pay depending on location, skills, licensure, experience and education.

The position is hybrid, with a minimum of 4 days per week in the office, so applicants must live near one of the listed hubs and be willing to follow this schedule. Remote interns are also encouraged to apply.

Key responsibilities

• Review data provided by financial professionals and generate all necessary paperwork for clients to sign.
• Provide a high level of service and support to independent financial advisors nationwide.
• Review, process and follow up on brokerage and non-brokerage account requests.
• Act as subject matter expert within brokerage operations and back up colleagues by cross-training on all department functions.
• Interact with clearing firms on routine account requests and update contact management and workflow systems.
• Answer and make outbound calls to advisors, and update contact management systems with correct grammar and spelling.
• Escalate issues to a manager or supervisor when needed and stay flexible to increased workflow.

Required profile

• High school diploma or equivalent; a bachelor's degree is preferred, and significant experience can substitute for it.
• 2-3 years of relatable or transferable work experience; financial services experience preferred.
• Preferred: 2+ years in financial services operations or a broker-dealer setting, and a bachelor's degree in business, finance or a related field.
• Preferred: completion of the FINRA SIE exam, FINRA Series 7 license or other FINRA licenses, and experience with Smartsheets and Envestnet / Wealth Management Platform.

Required skills

• Proficiency in Microsoft Word, Excel, Outlook and PowerPoint.
• Ability to learn NetX360, Wealthscape, Front-End Imaging (FEI), Salesforce, eQuipt and other back-office systems.
• Knowledge of securities industry rules and brokerage account operations, with strong organization, time management and attention to detail.

What we offer

• Health, vision and dental insurance, 401k, paid time away and volunteer days.
• Additional benefits available on the careers page.