Operations Processing Specialist

Osaic

. Review, process, and follow up on life events requests, including foreign beneficiaries, beneficiary claims/disclaimers, trades after death of the account holder, account restrictions, divorce situations, see-through trusts, and powers of attorney .

Posted 10/26/2026full-timeUnited StatesJuniorMid-Level💰 $45,000 - $49,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in brokerage operations, including account management and processing, while maintaining strong customer focus and attention to detail. Proficient in utilizing industry-specific tools and adhering to securities industry rules and best practices.

Highest-signal resume keywords

Brokerage Account ProcessingFinancial Services OperationsNetX360+ ProficiencyFINRA Series 7 LicenseCustomer Focus Orientation

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Account ManagementSecurities Industry KnowledgeAnalytical MindsetProblem-Solving SkillsAttention to Detail

Soft Skills

Excellent Communication SkillsOrganizational SkillsAbility to Work Under PressureTeam CollaborationTime Management Skills

Tools & Technologies

Microsoft WordMicrosoft ExcelSalesforceWealthscapeFront-End Imaging (FEI)

Certifications & Qualifications

FINRA SIE Exam CompletionFINRA Series 7 License

Industry Keywords

Broker-Dealer SettingForeign BeneficiariesAccount RestrictionsPowers of AttorneyClearing Firm Processes

About the role

Key responsibilities & impact

Review, process, and follow up on life events requests, including foreign beneficiaries, beneficiary claims/disclaimers, trades after death of the account holder, account restrictions, divorce situations, see-through trusts, and powers of attorney
Handle account opening through account closure involving internal and external asset movement/transfers pertaining to foreign beneficiaries
Review and understand underlying securities/holdings within an account
Understand account types and articulate proper next steps to financial professionals on deceased accounts
Serve as subject matter expert for several responsibilities within Brokerage Operations
Exercise judgment to escalate issues to a manager or supervisor
Cross-train on department functions and act as backup to coworkers
Interact with clearing firms and financial professionals on routine and complex brokerage account processing requests
Provide timely updates and statuses in contact management and workflow systems
Apply clearing-firm processes and policies versus internal policies and procedures
Build working relationships with vendors, internal stakeholders, and financial professionals
Keep current with industry and business process changes
Make outbound phone calls to financial professionals as needed
Perform other duties as assigned

Requirements

What you’ll need

High School Diploma or equivalent (GED) required
2-3 years relatable or transferable work experience; financial services experience preferred
Proficiency at Microsoft Word, Excel, Internet Explorer, Outlook, PowerPoint
Excellent communication & organizational skills
Ability to thrive in a fast paced, entrepreneurial environment
Strong customer focus orientation
High attention to detail, analytical mindset, and problem-solving skills
Ability to work independently and maintain high levels of quality
Ability to work and remain focused under pressure
Ability to work and contribute to a team environment
Ability to become proficient with NetX360+, Wealthscape, Front-End Imaging (FEI), Salesforce, and other back-office functions
Ability to acquire and retain knowledge of securities industry rules and best practices regarding brokerage account operations
Strong organizational and time management skills
Preferred: 2+ years' experience in financial services operations or broker-dealer setting
Preferred: Bachelor's degree in business, Finance or related field
CRM experience / Salesforce experience
Completion of FINRA SIE exam
FINRA Series 7 license

Benefits

Comp & perks

Annual performance-based bonus
Health insurance
Vision insurance
Dental insurance
401k
Paid time away
Volunteer days