Transitions Processing Specialist

Osaic

. Review data provided by financial professionals and generate necessary paperwork for client signature .

Posted 10/2/2026full-timeUnited StatesJuniorMid-Level💰 $50,000 - $55,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates proficiency in brokerage account operations, including knowledge of securities industry rules and best practices. Excels in customer service, communication, and organizational skills while maintaining high attention to detail and the ability to work independently.

Highest-signal resume keywords

Brokerage Account OperationsFinancial Services ExperienceProficiency in Microsoft Office SuiteCRM/Salesforce ExperienceAttention to Detail

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Brokerage Account ProcessingData Review and GenerationSecurities Industry KnowledgeProblem-Solving SkillsTime Management

Soft Skills

Strong Customer FocusExcellent CommunicationOrganizational SkillsQuick LearnerSelf-Motivated

Tools & Technologies

NetX360WealthscapeSalesforceFront-End Imaging (FEI)Smartsheets

Certifications & Qualifications

FINRA SIE ExamFINRA Series 7 License

Industry Keywords

Financial ServicesBroker-Dealer SettingContact Management SystemsWorkflow SystemsClient Signature Paperwork

About the role

Key responsibilities & impact

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

Requirements

What you’ll need

Minimum of high school diploma or equivalent is required
Bachelor’s degree preferred
2-3 years relatable or transferable work experience; financial services experience preferred
Proficiency at Microsoft Word, Excel, Internet Explorer, Outlook, PowerPoint
Must become proficient with NetX360, Wealthscape, Front-End Imaging (FEI), Salesforce, eQuipt and other assigned backoffice functions
Must acquire and retain knowledge of securities industry rules and best practices regarding brokerage account operations
Strong organizational and time management skills
Excellent communication and organizational skills
Quick learner with basic technical skills
Strong customer focus orientation
High attention to detail, analytical mindset, and problem-solving skills
Ability to work independently and maintain elevated levels of quality
Self-motivated and capable of meeting departmental expectations and deadlines
Ability to participate and contribute to a team environment
Ability to work overtime, including weekends, as needed
2+ years' experience in financial services operations or broker-dealer setting preferred
Bachelor’s degree in business, Finance or related field preferred
CRM/Salesforce experience preferred
Completion of FINRA SIE exam preferred
FINRA Series 7 license and other FINRA licenses preferred
Experience with Smartsheets preferred
Experience with Envestnet / Wealth Management Platform preferred

Benefits

Comp & perks

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