Operations Processing Manager - Cashiering

Ops Processing Manager – Cashiering

Ops Processing Opportunity in Financial 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

Osaic is not considering remote candidates at this time.

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: $68,000 - $73,000 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.

Summary

The Operations Processing Manager is responsible for all aspects of production and service delivery for assigned Operational Team(s). Our ideal candidate ensures the quality and timeliness of service delivery. The manager is responsible for supporting processors and answering related questions to brokerage operation processes, and explaining policies and procedures set forth by the broker dealer. Topics of requests may include cashiering and money movement transactions, standing instruction set up and maintenance, retirement contributions, distributions, and periodic plans. The manager is required to establish a rapport with the top industry financial professionals within the Osaic family, and 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 manager 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 desktop 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 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.