Operations Processing Supervisor

Ops Processing Opportunity in Financial Services

Ops Processing Supervisor – Doc Services

Location(s):

• Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
• Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
• La Vista:12325 Port Grace Blvd, La Vista, NE 68128
• Oakdale: 7755 3rd St. N, Oakdale, MN 55128
• St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Remote applicants may potentially be considered for this role.

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

Role Type: Full-time, Exempt

Salary: $60,000 - $65,000 per year annual performance-based bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: Osaic Benefits.

Summary:

The Operations Processing Supervisor is responsible for all aspects of production and service delivery for assigned Operational Team(s). Our ideal candidate ensures the quality and timeliness in service delivery. The supervisor will be responsible for supporting the processors and answering related questions to brokerage operation processes, and explaining policies and procedures set forth by the broker dealer. Supervise the team responsible for the accurate, timely and efficient processing of incoming and outgoing mail pertaining to client account opening, account maintenance, rep changes, sponsor company changes and supporting day-to-day activities associated with Brokerage Operations. You will be required to establish a rapport with the top financial professionals in the financial industry within the Osaic family. The Operations Supervisor is also responsible for development and performance management of all team personnel.

Education Requirements:

College degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Responsibilities:

• Directly manage 10-15 employees within the Operations Department.
• Provide a high level of service and support to independent financial advisors nationwide.
• Must act as subject matter expert for several different responsibilities within brokerage Operations.
• Carry out supervisor duties in accordance with the organization’s policies and applicable laws.
• Responsible for the daily oversight of team personnel, workflow, processing procedures and problem resolution.
• Act as back-up to co-workers by cross-training on all department functions and demonstrate flexibility to respond to influx of workflow.
• Interact with clearing firm on routine brokerage account processing requests; provide timely updates and statuses in contact management and workflow systems
• Resolve complex escalations, make decisions and ensure prompt follow-up when needed
• Ensure all desk top procedures are accurate and up-to-date
• Provide performance feedback for performance reviews and assist with establishing meaningful and relevant performance objectives.
• Answer internal and external phone calls; make outbound phone calls to our advisors.
• Exercise judgment to know when to escalate issues to Manager or Sr. Leadership
• Flexibility is required to respond to increases in workflow.
• All other duties as assigned.

Basic Requirements:

• 3 years relatable or transferable work experience; financial services experience preferred
• Must be proficient in the following Microsoft programs: Excel, Word, Outlook, Edge, OneNote, Teams
• Must become proficient with the following systems: NetX360, Wealthscape, Front-End Imaging (FEI), Salesforce (contact management and imaging workflow systems), eQuipt and other assigned back-office functions.
• Must acquire and retain knowledge of securities industry rules and best practices regarding brokerage account operations and have strong organizational and time management skills.
• Must be team-oriented and client-focused.
• Ability to work overtime, including weekends, as needed to support heavy work volume when applicable.

Preferred Requirements:

• 3 years’ experience in financial services operations or broker-dealer setting
• FINRA Series 7 license a plus.

Pay: $60,000.00 - $65,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Flexible spending account
• Health insurance
• Health savings account
• Paid time off
• Referral program
• Vision insurance

Work Location: Hybrid remote in La Vista, NE 68128

Salary : $60,000 - $65,000