Principal

Osaic Careers

Customer Service Opportunity in Financial Services

Principal

Location(s): Remote

Role Type: FT/Non-Exempt

Salary: 70,000.00 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:

As a member of our customer-facing organization, you will engage directly with our customers – over 11,000 Financial Professionals across the country, helping grow and support their firms. Working in a team environment, you will perform a wide variety of administrative and sales support duties supporting Investment Executives verifying compliance of transactions and documentation. A collaborative and entrepreneurial approach will drive success as you learn and navigate all aspects of Financial Professional support. Your contributions will ensure that our Financial Professionals get best-in-class service in every interaction with Osaic.

Education Requirements:

Bachelor's 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:

• Validate client documents for compliance, completeness, and accuracy. Handle requests via phone, Service Center, or document management system including executing trades as needed. Attention to established policies and procedures to ensure accuracy of execution and timeliness with respect to market deadlines is essential.
• Maintain electronic client files/documentation on proprietary web-based software system
• Provide the highest level of service and responsiveness to customers, ensuring client satisfaction continues to be a distinguishing selling point for Osaic Institutions in our market space.
• Suggest and implement new policies and procedures based on business and regulatory changes.
• Use experience and knowledge to determine appropriateness of client accounts and trades.
• Recommend policies and procedures pertaining to approving and/or declining suitability of accounts and trades for clients.
• All other duties as assigned.

Basic Requirements:

• 1-2 years minimum of related experience
• Proficiency at Microsoft Word, Excel, Internet Explorer, Outlook, PowerPoint.
• Excellent communication & organizational skills.
• Quick learner with basic technical skills to efficiently navigate through various systems.
• STRONG customer focus orientation.
• High attention to detail, analytical mindset, and problem-solving skills.
• Be able to work independently and maintain elevated levels of quality.
• Self-motivated individual capable of meeting departmental expectations and deadlines
• Ability to participate and contribute to a team environment.
• FINRA Series 7 & 24 license

Preferred Requirements:

• 3+ years' experience in financial services operations or broker-dealer setting.
• Bachelor's degree in business, Finance or related field is preferred CRM experience / Salesforce experience.
• Completion of FINRA SIE exam.