Osaic

General

• Review data provided by financial professionals and generate necessary paperwork for client signature
• Provide service and support to independent financial advisors nationwide
• Review, process and follow up on brokerage and non-brokerage account requests
• Serve as subject matter expert for several brokerage Operations responsibilities
• Cross-train on department functions and provide backup to coworkers
• Interact with the clearing firm on routine brokerage account processing requests
• Provide timely updates and statuses in contact management and workflow systems
• Process work accurately and perform repetitive tasks with close attention to detail
• Answer internal and external phone calls and make outbound calls to advisors
• Update contact management systems using professional grammar and spelling
• Escalate issues to a manager or supervisor when appropriate
• Respond flexibly to increases in workflow
• Perform other duties as assigned

Transitions Processing Specialist

• Process billing-related requests for Investment Advisory accounts, including fee calculations, adjustments, and reconciliations
• Execute tasks accurately and within established service level agreements (SLAs)
• Review account data to ensure billing accuracy and identify discrepancies
• Follow defined procedures and workflows to complete routine processing activities
• Maintain detailed records of completed work within systems and ticketing tools
• Partner with IA Support, Operations, and Accounting teams to resolve standard processing issues
• Escalate complex or non-routine issues to senior team members as needed
• Communicate with internal stakeholders regarding request status or clarification
• Prioritize and organize multiple tasks in a high-volume processing environment
• Support quality control efforts by adhering to policies, procedures, and compliance standards
• Contribute to process improvement initiatives by identifying inefficiencies or errors
• Continuously learn systems, products, and processes related to advisory billing

IA Processing Specialist

Operations

• Lead cross-functional investigations of complex, high-risk, and high-visibility escalations
• Conduct root cause analyses and produce recommendations to reduce complaints and prevent recurrence
• Maintain case and root cause analysis documentation, issue tracking, corrective actions, and outcomes
• Analyze escalation and RCA data to identify trends, process breakdowns, and emerging risks
• Facilitate collaboration among advisors, support staff, operational teams, and business partners
• Support Financial Professional Staff Engagement initiatives and convert feedback into improvement opportunities
• Recommend process, policy, workflow, system, and training improvements
• Partner with leaders and subject matter experts to address operational knowledge gaps
• Lead or contribute to cross-functional projects and continuous improvement initiatives
• Produce reporting, dashboards, and presentations for leadership decision-making
• Monitor corrective actions and improvement initiatives using performance indicators and stakeholder feedback
• Advise and mentor team members and promote best practices
• Research and apply industry trends, regulatory developments, operational excellence practices, and service improvement methodologies
• Perform other duties and special projects as assigned

Senior Operations Consultant, Business Excellence

Director

• Manage account relationships with Highland’s National Account partners
• Lead top-down projects and initiatives with Sales Management, Operations, Commissions, and IT teams
• Own business analytics for the distribution channel
• Serve as primary day-to-day contact and relationship manager for Strategic Account corporate customers
• Support the Highland sales team on dedicated account matters
• Drive proactive top-down business development initiatives with account heads and Sales Management
• Partner with Sales Management on Sales VP engagement, account lead initiatives, carrier partnership initiatives, and VP territory analysis and reassignments
• Perform business development with Account COIs alongside the Sales Team
• Lead account-specific initiatives, including Internal VP Huddle Calls, targeted marketing campaigns, and in-market meetings
• Identify growth opportunities and strategize on additional product lines, digital resources, and marketing capabilities
• Own Sales VP territory and account assignments
• Create and maintain Account Partnership Business Plans
• Onboard new Sales VPs on account landscape, suitability, and compliance rules using the Account Playbook
• Provide reporting and support during monthly management calls, including dashboard analytics, VP activity synopsis, and field conflict resolution

Director, Strategic Accounts

• Lead the strategy, engineering, and operational health of enterprise cloud platforms spanning M365 Services, Azure Engineering, and Azure DevOps
• Own the unified multi-year strategy and roadmap across M365 Services, Azure Engineering, and Azure DevOps
• Evaluate and recommend capabilities, licensing, and tooling investments while balancing innovation, risk, and cost
• Ensure shared identity, access, and integration standards across cloud platform pillars
• Ensure M365 and Azure configurations, access controls, retention, archiving, and change management satisfy regulatory obligations
• Define and enforce separation of duties between DevOps build/delivery functions and production operations
• Own audit readiness, including access reviews, change logs, retention/eDiscovery controls governance
• Set engineering standards for M365 workloads, Azure infrastructure, CI/CD pipelines, Infrastructure as Code, release orchestration, and deployment strategies
• Champion SRE practices and drive enterprise-wide automation to reduce manual toil
• Hire, develop, and manage engineering leadership and staff across the three platform pillars
• Build a culture of technical excellence, accountability, and continuous improvement
• Partner with Security, Compliance, Risk, Legal, and business stakeholders
• Represent Cloud Platforms in governance forums, architecture review boards, change advisory processes, and vendor management discussions
• Manage the combined budget, including licensing, Azure consumption costs, and tooling/professional services
• Own relationships with Microsoft and relevant third-party vendors

Director, Cloud Platforms

Vice President

• Provide point-of-sale assistance to independent financial professionals, financial advisors, and their clients to identify planning needs and insurance-based solutions
• Implement company-supported sales concepts in alignment with industry, company, and compliance standards
• Promote and facilitate sales of life insurance, LTC, and DI by prospecting within assigned financial professionals
• Partner with in-market Signature Vice Presidents on shared contacts and accounts
• Guide financial professionals through full application completion or Marketplace usage
• Provide status updates to financial professionals and internal stakeholders
• Coordinate telephone interviews between carriers and clients
• Assist financial professionals with case design and sales presentations
• Meet minimum NHOR targets
• Adhere to compliance and suitability rules, including SEC, FINRA, and DOL regulations
• Collaborate with New Business and Sales Support on case design, reporting, carrier products, and pricing
• Coordinate medical and underwriting requirements and completion of outstanding items
• Proactively develop additional cases with established financial professionals

Associate Sales Vice President

Designer

• Provide pre-sales support to the assigned annuity sales team, including case design, running illustrations, summarizing annuity designs and concepts, reviewing current rates/caps, and assisting with electronic submission platforms
• Complete annuity reviews by analyzing in-force policy data and recommending changes or alternate plans to optimize existing policy performance and generate new sales/revenue
• Respond in a timely manner to service and solicitation requests while meeting company service levels
• Present annuity product features, benefits, and pricing to financial professionals
• Stay current on the competitive marketplace through educational opportunities, webinars, carrier strategies, talks, and podcasts
• Answer overflow calls from the phone queue
• Participate in email campaigns and webinars by following up with engaged prospects and writing financial professionals
• Assist the sales team with prospecting, appointment setting, and follow-up meetings
• Log activities in Salesforce and store illustrations according to established protocols
• Perform miscellaneous clerical duties, special projects, reporting, and other support as required

Annuity Case Designer

Client Services Representative

• Respond to Investment executive and client needs, concerns, and questions
• Follow established policies and procedures to ensure accuracy and timeliness with respect to market deadlines
• Assist in the account opening process
• Perform initial checks of paperwork for accuracy and completeness
• Act as a liaison between the investment executive and clearing firm, fund company, and carrier
• Maintain electronic client files and documentation on proprietary web-based software
• Provide the highest level of service and responsiveness to customers
• Ensure client satisfaction remains a distinguishing selling point for Osaic Institutions
• Suggest and implement new policies and procedures based on business and regulatory changes
• Support over 11,000 Financial Professionals across the country through customer-facing service and operational and transactional activities

Manager

• Conduct transaction and account review for all transactions for direct reports
• Ensure proper business and sales practices are followed by the daily review of queue management reports
• Monitor reports and enforce internal controls to ensure compliance with industry standards and the firm’s policies and procedures
• Collaborate with the Regional Supervision Team
• Maintain positive relationships and serve as a guide and resource to OSJ Managers and support staff
• Proactively communicate firm policies and procedures and ensure understanding and compliance with firm and industry requirements
• Support education, development and training of newly affiliated Financial Professionals, delegates, and staff regarding broker-dealer policies and procedures
• Function as the home office liaison and primary contact for Financial Professionals on supervision issues
• Identify and assess risk-based reviews for findings violating department guidelines and take appropriate corrective action
• Work on delegated and collaborative projects with departments and upper management, tracking projects to completion
• Perform other duties as assigned

Regional Supervision Manager

Consultant

• Prepare and execute transition plans for new Financial Professionals
• Manage regular touchpoints with transitioning Financial Professionals to instill confidence in the onboarding process and ensure excellent communication
• Closely monitor asset transfers by providing hands-on support and monitoring/resolving NIGOs
• Advocate for transitioning Financial Professionals with other organizational areas to push for resolution, escalate issues, and ensure responsiveness
• Manage cross-organizational projects
• Build effective business relationships with internal departments, Financial Professionals, and external service providers
• Provide guidance and training throughout the transition process to ensure a seamless onboarding experience
• Communicate regularly regarding the status of current transitions
• Expedite the transfer of Financial Professionals’ books of business

Onboarding Consultant

Analyst

• Complete Field Advisor and product activity-based reviews
• Review financial professionals’ books of business for common risks and regulatory issues
• Conduct ongoing surveillance of trading activity, communications, and other transactional data to identify potential compliance violations
• Review alerts and escalate issues requiring further investigation or supervision
• Create representative summaries detailing negative trends, including variable annuity replacements, mutual fund B-share and C-share concerns, mutual fund switching, and alternative investment liquidity issues
• Deliver trend summaries to Internal Supervision, Compliance, Branch Office Examinations, and Senior Management teams for review and follow-up
• Participate in creating and issuing Compliance Manuals, Written Procedures, and Compliance Communications
• Report to the Compliance Manager
• Perform all other duties as assigned

Surveillance Analyst

Financial Planning and Analysis

• Ensure accurate, current client information for inputs used to develop and update comprehensive financial plans
• Assist Wealth Managers with tax planning, cash flow management, retirement planning, estate planning, executive compensation, risk management and other areas as directed
• Schedule client meetings and produce standard meeting preparation materials
• Participate in client meetings, take notes, and enter documentation into Salesforce within 24 hours
• Update financial planning software and checklists in Salesforce as needed
• Draft post-meeting summary emails and outline next steps for clients within 24 hours
• Initiate follow-up tasks after meetings, including investment changes, contribution/withdrawal processing, administrative updates, opportunity tracking, meeting cadence updates, and coordination with other professionals
• Gather client information and financial data, prepare financial reports and presentations, and respond to client inquiries
• Support senior advisors with research on planning strategies, investment opportunities, and market trends
• Participate in prospecting activities and support relationship building with existing clients, prospective clients and centers of influence

Associate Financial Advisor

Learning and Development

• Design and develop engaging digital learning experiences using e-learning, multimedia, and performance support solutions
• Partner with trainers, subject matter experts, and business stakeholders to transform learning requirements into effective digital learning assets
• Serve as the primary administrator and subject matter expert for Pendo within the Training organization
• Create, maintain, and optimize in-application guidance, walkthroughs, and digital adoption experiences
• Develop instructional videos, software demonstrations, job aids, playbooks, quick reference guides, and other performance support resources
• Support financial professionals and support staff, compliance, supervision, and enterprise technology enablement initiatives through scalable learning solutions
• Assist with administration and maintenance of learning technologies, including the learning management system
• Organize and maintain learning content and resources
• Research, troubleshoot, and resolve technical issues related to learning technologies and digital adoption tools
• Evaluate emerging technologies and recommend innovative solutions, including artificial intelligence and other learning technologies
• Manage multiple projects while maintaining quality standards and meeting deadlines
• Build partnerships across departments to support learning, adoption, and business readiness objectives
• Mentor and support internal partners on Pendo development and digital adoption best practices
• Participate in special projects and perform other duties as assigned

E-Learning Consultant

• Provide administrative and client service support to a fee-based financial planning practice
• Prepare and organize documents, reports, presentations, and other materials for client meetings and internal discussions
• Maintain accurate client records, files, contact information, and account-related documentation in accordance with firm procedures
• Assist with new business processing, account paperwork, follow-up items, and coordination with internal or external service partners
• Support client communications, including preparing correspondence, responding to routine inquiries, and escalating more complex matters as appropriate
• Coordinate calendars, schedule meetings, track follow-up items, and help ensure timely completion of administrative tasks
• Provide administrative support to leadership and the advisory team, including document management, workflow coordination, and general office support
• Maintain confidentiality and handle client and business information with professionalism and discretion

Client Service Administrator

• Respond to Investment executive and client needs, concerns, and questions
• Follow established policies and procedures to ensure accurate and timely execution around market deadlines
• Assist in the account opening process
• Perform initial checks of paperwork for accuracy and completeness
• Liaise between the investment executive and clearing firm, fund company, and carrier to facilitate uninterrupted transactions
• Maintain electronic client files and documentation on proprietary web-based software
• Provide the highest level of service and responsiveness to customers
• Ensure client satisfaction remains a distinguishing selling point for Osaic Institutions
• Suggest and implement new policies and procedures based on business and regulatory changes