Brokerage Operations Specialist: Compliance & Processing
Advisor Group Inc.
Advisor Group Inc. is seeking a Processing Specialist to join the Financial Services team in Scottsdale, AZ. This position focuses on accurately handling brokerage account documentation, including account openings and transfers, while ensuring compliance with industry standards. The ideal candidate must have a customer-focused mindset, excellent attention to detail, and a high school diploma. Additional benefits include a competitive salary range and various health insurances. #J-18808-Ljbffr Advisor Group Inc.
Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Brokerage Operations Specialist: Compliance & Processing in Scottsdale, AZ vacancy
$43k - $48k
...Service Opportunity in Financial Services Operations Processing Specialist New Graduates Will Be Considered... ...efficient and accurate handling of brokerage account documentation. In this role,... ...documentation-while ensuring compliance with firm policies and industry standards...SuggestedFull timeWork experience placementInternshipWork at office$43k - $48k
...seeking a detail-oriented Processing Specialist to join our Financial Services... ...and accurate handling of brokerage account documentation. The... ...documentation—while ensuring compliance with firm policies and... ...and more. Responsibilities Operations Processing Process brokerage...SuggestedWork experience placementInternshipWork at office$40k - $42k
...and Contractors Apply HereOsaic Careers Operations Processing Opportunity in Financial Services Operations Processing Specialist Location: Scottsdale: 18700 N Hayden... ...are handled accurately, securely, and in compliance with industry standards. This role...SuggestedFull timeFor contractorsWork experience placementWork at officeShift workOsaic
Scottsdale, AZ5 days ago- Osaic is seeking an Operations Processing Specialist in Scottsdale to join Document Services. You will handle the intake, processing, routing, and... ...electronic documents, ensuring accuracy, security, and compliance with industry standards. The role requires strong organization...Suggested
$80k - $87k
...fast-paced world of trust and operations. We are seeking an... ...TITLE: SENIOR TRUST OPERATIONS SPECIALIST DEPARTMENT: WEALTH MANAGEMENT... ...appropriate resolutions, implementing process improvements, and ensuring... ...actions to ensure compliance with internal policies and regulatory...SuggestedFull timeWork experience placementMonday to FridayTrustBank
Scottsdale, AZ2 days ago- ...The Supervisor, Operations Processing & Transactions will lead the Adjustment team within Transfer Agency Operations, overseeing end-to-end... ...enhancements.Maintain strong knowledge of departmental procedures, compliance expectations, risk controls, and regulatory requirements to...Full timeWork at office
Vanguard
Scottsdale, AZ6 days ago - ...Number: 193892Eligible for remote: YesApply: Material Process Manager, Field Operations leads the process discipline, standard work, and performance... ...controls, documentation, receiving practices, and compliance with logistics standards. Remove material flow constraints...Remote workFlexible hours
DEPCOM Power
Scottsdale, AZ4 days ago - ...career!The Facilities Project Specialist supports the safe, compliant, and efficient operation of the company's buildings and... ...building systems, life safety compliance, and vendor management — with... ...Accuracy of documentation, invoice processing, and cost tracking.Quality and...Contract workFor contractorsLocal areaRelocation
Cogir Senior Living
Scottsdale, AZ1 day ago - Vanguard is seeking a Fund Operations professional to ensure timely fund and investment operations. The role focuses on controlling operational risk and maintaining high-quality, compliant processes across fund tasks. Candidate should have at least one year of related experience...
$70k - $75k
...25% Manage Others No The Marketing Operations & MLR Specialist is responsible for the day-to-day management... ...material review and approval processes, serving as the primary operational... ...Medical Affairs, Legal, Regulatory, Compliance, Marketing, Sales, Clinical Services...Work at officeRemote workRelocation- ...experience. The position is open to recent graduates with a Bachelor’s degree in Finance and Business. The successful candidate will process brokerage account documents and ensure all required fields are complete and accurate. They will also provide call center support,...
- ...Accounting Operations Specialist (AR & AP) Accounting Operations Specialist (AR & AP) Location... ...our invoicing and accounts payable processes. This is a high-impact, individual contributor... ...and accounting processes Support compliance and reporting requirements What...Full timeFlexible hours
$79.04k - $92.12k
...Description Job Title: Operations Coordinator Location: Greater Boston Description... ..., spanning business operations, HR and compliance, finance, technology, and data. The Ops... ..., finds satisfaction in improving processes, and is comfortable navigating the pace...Full timeContract workTemporary workWork at officeLocal areaRemote workVisa sponsorshipWork visaShift workBME Strategies
Scottsdale, AZ1 day ago- ...are seeking an Accounts Payable & Travel Specialist to join our Accounting team at the... ...Scottsdale, Arizona. This role focuses on processing AP invoices and managing the corporate... ...travel program, with emphasis on policy compliance and accurate financial close. Required...
- Operations Coordinator - Scottsdale, Arizona Scottsdale, AZ, United States Trending At Tiffany... ...policies and procedures. Ensure compliance with all internal control procedures and... ...productivity and by providing feedback on process changes through appropriate channels. Assist...Night shift
- ...communication with all parties involved in transactions, and ensuring compliance with company policies. Ideal candidates will have a high... ...strong communication and problem-solving skills. The position operates Monday to Friday, 8:00 AM to 5:00 PM, in a professional office...Work at officeMonday to Friday
$48k - $52k
...Services Osaic Investment Advisory (IWS) Operations Specialist Location(s): Atlanta: 2300 Windy... ...across all aspects and stages of our processes to ensure our advisors and their clients... ...Requirements: 4+ years of related brokerage experience 1+ years of investment advisory...Full timeWork at officeRemote work$38.3k - $56.2k
...Forster, located in Scottsdale, Arizona, is seeking a Premium Operations Associate to handle outgoing premium activities including refunds... ...skills and experience in premium accounting, emphasizing compliance and operational efficiency. Qualified candidates will possess...- ...Reporting to the Store Manager, your role as Operations Associate is all about keeping the store... ...the stockroom, keep inventory moving, process shipments, and make sure the floor stays... ...to decide who moves forward. In compliance with applicable federal, state, and local...Local areaFlexible hoursWeekend workAfternoon shift
$38.3k
...Line of Business and Team The Premium Operations Associate is responsible for managing outgoing... ...of producers and brokers, performs compliance tasks such as OFAC checks, and responds... ...of payments, supporting reconciliation processes, and contributing to operational...- ## Operations Associate IApplylocations: Indiatime type: Full timeposted on: Posted 30+ Days... ...etc. and perform self-inspection on all process steps* Properly complete manufacturing... ...Responsible for ensuring personal and company compliance with all Federal, State, local and...Local areaShift workNight shiftRotating shiftDay shift
- Cfins is looking for a Premium Operations Associate in Scottsdale, Arizona. The role involves managing outgoing premium activities such as refunds and claims payments, ensuring compliance, and supporting onboarding for producers and brokers. The ideal candidate will have...
$50k - $60k
...keep reading below for this Program and Operations Coordinator opportunity!ASU EdPlus is a... ...organization where thoughtful coordination, process improvement, and collaboration directly... ...Security and Fire Safety Report:In compliance with federal law, ASU prepares an annual...Part timeInternshipWork at officeLocal areaWorldwideRelocation packageFlexible hours- ...Excellence is seeking an HR Coordinator to support day-to-day HR operations in Scottsdale, AZ. The role focuses on onboarding, data entry in HRIS, and ensuring policy compliance across employment processes. The successful candidate will handle records maintenance, data...
$23.55 per hour
A leading firm in financial services is looking for a Retirement Plan Specialist to work remotely. In this role, you will assist clients with 401(k) plans, ensuring compliance with government regulations and helping clients understand their accounts. The position requires...Remote jobHourly pay- ...to delivering exceptional service and operational excellence throughout the new business... ...procedures. Ensure accurate, timely processing and case follow-up. Process Improvement... ...corrective actions. Partnership & Compliance Collaborate with Suitability, Licensing...Full timeRemote work
Sagicor Life Insurance Company USA
Scottsdale, AZ4 days ago - Titan Lien Services, a legal document prep firm in Scottsdale, seeks an Operations & Research Specialist to own daily mail production, manage a research queue, and assist as a technical point of contact for the remote IT team. This in-office role runs Monday-Friday in...For contractorsWork at officeRemote workMonday to Friday
- ...company where you matter. Director, Fleet Operations Your Impact Axon is seeking an... ...performance. Establish Safety, Compliance, and Risk Governance Establish and govern... ...and experience implementing scalable processes. ~5+ years of people leadership...For contractorsLocal area
Axon
Scottsdale, AZ2 days ago - ...Start. Learn More . ABOUT THE JOB: Operations Director for Adjacencies provides... ...functional teams around launch readiness, process design, and operational performance so new... ...expansion initiatives. Safety, Quality, and Compliance Champion a culture of safety and...Temporary work
WillScot
Scottsdale, AZ1 day ago $21.15 - $25 per hour
...system, and network support, oversees file processing, and ensures processing jobs are... ...Production Assurance and Resiliency - Operations Team supports a 24/7 operation. This position... ....Attention to detail, accuracy, policy compliance, and ability to follow documented...Hourly payWork experience placementWork at officeImmediate startVisa sponsorshipWork visaFlexible hoursShift workNight shiftWeekend workDay shift
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Brokerage Operations Specialist: Compliance & Processing. Be the first to apply!
Related searches
- bank operations specialist Scottsdale, AZ
- operations management specialist Scottsdale, AZ
- operations consultant Scottsdale, AZ
- flight operations specialist Scottsdale, AZ
- provider operations coordinator Scottsdale, AZ
- it operations coordinator Scottsdale, AZ
- systems operations specialist Scottsdale, AZ
- people & operations coordinator Scottsdale, AZ
- recruiting operations associate Scottsdale, AZ
- remote operations specialist Scottsdale, AZ