Direct Business Operations Associate

Saxony Securities, an independent broker-dealer supporting 100 independent financial representatives, is seeking a motivated and detail-oriented Direct Business Operations Associate to join our small, collaborative compliance team. This role plays a key part in supporting representatives with their direct business processing across mutual funds, variable annuities, and private placements.If you’re looking to start or advance your career in the financial services industry and want meaningful experience inside a growing firm, this role offers hands-on training, strong operational exposure, and opportunities for professional development. Key ResponsibilitiesDirect Business ProcessingProcess account applications, maintenance forms, and service requests across mutual funds, variable annuities, and private placements.Work directly with product sponsors and carriers to resolve NIGO (Not-In-Good-Order) items and ensure clean, timely submission.Support representatives with time-sensitive paperwork, carrier requirements, and general account servicing needs.Variable Annuity Producer AppointmentsFacilitate new producer appointments with variable annuity carriers.Coordinate with representatives and carriers to ensure proper documentation is submitted and appointment requirements are met.Insurance Agency RegistrationProcess new state insurance agency registrations.Maintain annual filings and ensure the firm’s insurance agency is appropriately registered to support variable annuity business.Operational & Administrative SupportProvide administrative support to the compliance team, primarily through document gathering, form completion, and file maintenance.Verify that required suitability documentation is complete prior to submission (no suitability review required).Provide phone-based support to representatives regarding forms, processes, and carrier requirements.Use industry systems including Pershing NetX360, DST Vision, Carrier Portals, NAIC/NIPR, and Orion to access rep and account information. Required Skills & Qualifications3-5 years administrative or insurance processing experience preferred, but on-the-job training is available.Strong organizational abilities with the capacity to handle high-volume, time-sensitive paperwork.Excellent attention to detail and accuracy in form completion.Strong interpersonal and communication skills for working with representatives and internal staff.Proficiency with Microsoft Outlook, Word, and Excel.Comfortable editing PDFs and working within workflow processes.Able to prioritize tasks and meet deadlines in a fast-paced environment. EducationAssociate or Bachelor’s degree preferred, or equivalent administrative/industry experience. Work EnvironmentOnsite position with the option of one remote day per week after approximately 90 days of training.Standard hours: 8:00 AM – 4:30 PM.Work closely with one other Associate and collaboratively within the Compliance team.Supportive, small-team environment with room for initiative and ownership.Company DescriptionSaxony is a full-service Broker-Dealer and Registered Investment Advisor (RIA) headquartered in St. Louis, Missouri. We partner with entrepreneurial financial professionals who want the freedom of true independence without sacrificing ownership, control, or the high-touch service their clients deserve.Advisors at Saxony gain the best of both worlds: the strength, resources, and technology of a large-scale platform combined with the flexibility and autonomy of independent business ownership. Our comprehensive suite of financial solutions empowers representatives to grow their practices with confidence, efficiency, and scalability.Relationships are at the heart of everything we do. Our mission is to deliver unmatched support to both advisors and their clients, fostering trusted partnerships that drive lasting success. At Saxony, you’re more than part of a platform; you’re part of a community built on integrity, collaboration, and growth.

Salary : $45,000 - $60,000