Sign up to access all features of our service.
  • Job search
  • Favorites
  • Create a CV
    New
  • Salaries
  • Subscriptions

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

     ...Opportunity in Financial Services Operations Processing Specialist New Graduates Will Be...  ...efficient and accurate handling of brokerage account documentation. In this role,...  ...regulatory documentation-while ensuring compliance with firm policies and industry standards... 
    Suggested
    Full time
    For contractors
    Work experience placement
    Internship
    Work at office

    Osaic

    Scottsdale, AZ
    4 days ago
  • $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... 
    Suggested
    Work experience placement
    Internship
    Work at office

    Advisor Group

    Scottsdale, AZ
    20 hours 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... 
    Suggested
    Full time
    Work at office

    Vanguard

    Scottsdale, AZ
    14 hours ago
  •  ...Join Our Team as an Operations Specialist at Amwins Self-Funded! Are you ready to take the...  ...Department to ensure proper setup for premium processing, compensation, and overall payment...  ...operational procedures and ensuring compliance with internal policies and external... 
    Suggested
    Work experience placement
    Work at office
    Work from home
    Flexible hours
    2 days per week

    Amwins

    Scottsdale, AZ
    1 day ago
  •  ...obtained through training and experience to process money movement of client funds. General...  ...to cashiering according to compliance requirements. Assists branch managements...  ...supplies. Cross-trains and assists with other operational functions as required. Performs other... 
    Suggested
    Work experience placement
    Work at office
    Home office

    Raymond James Financial

    Scottsdale, AZ
    3 days ago
  • $64k - $88k

    The Operations Specialist I will play a key role in assisting the Operations Manager and Operations...  ..., environmental, and operating compliance. What You'll Bring Ability to coordinate...  ...knowledge of plant and system processes and experience in operating electrical... 
    Full time
    H1b
    Remote work
    Visa sponsorship
    Shift work
    Night shift
    Rotating shift

    Clearway Energy

    Scottsdale, AZ
    5 days ago
  • $19.98 - $20.78 per hour

     ...District is seeking a Fiscal Support Specialist in Business & Finance to oversee operations, reconcile financial data, and...  ...and departments. The role involves processing forms, postings, and reports while ensuring policy compliance and accurate accounting practices.... 
    Hourly pay
    Full time

    Scottsdale-Unified-School-Distric

    Scottsdale, AZ
    3 days ago
  • $65k - $75k

     ...more. Position Summary The Facilities Operations Coordinator is responsible for managing...  ...completed on time, within budget, and in compliance with Cogir’s quality standards and the requirements...  ...communities and contractors. Identify process inefficiencies and recommend continuous... 
    Full time
    For contractors
    Work at office

    Cogir Senior Living

    Scottsdale, AZ
    5 days ago
  •  ...SUMMARY 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...  ...of documentation, invoice processing, and cost tracking. Quality... 
    Contract work
    For contractors
    Local area
    Relocation

    Cogir Management, USA Inc

    Scottsdale, AZ
    19 days ago
  • $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 office
    Remote work
    Relocation

    Kids for the Future

    Scottsdale, AZ
    3 days ago
  • $52.8k - $72k

     ...Scottsdale, Arizona, United States Sales Operations Specialist The Sales Operations Specialist serves as the backbone of our sales process. In this role, you will bridge the gap...  ...customer experience. Financial Operations & Compliance Credit & Collections: Take ownership of... 
    Hourly pay
    Local area
    Relocation

    CP Skin Health Group

    Scottsdale, AZ
    1 day ago
  •  ...AZ, seeks a Client Services - New Business - Investment Specialist to accurately process all new investment account openings and ACAT transfers,...  ...will liaise with custodians and investment partners and ensure compliance with firm and #J-18808-Ljbffr Trajan Wealth LLC

    Trajan Wealth LLC

    Scottsdale, AZ
    5 days ago
  •  ...Inc. in Scottsdale, AZ seeks an entry-level operations/administrative associate to support branch activities. You will process money movement, assist with client onboarding...  ...home office. The role emphasizes accuracy, compliance, and efficient handling of inquiries, mail,... 
    Home office

    100 Raymond James & Associates, Inc.

    Scottsdale, AZ
    2 days ago
  • We are seeking a highly organized, operations-driven Trading Operations Associate to join...  ...is critical to ensuring accurate trade processing, seamless custodial workflows, clean data...  ...procedures, trading policies, and compliance documentation. Support regulatory and... 
    Full time
    Work at office

    Ashton Thomas Private Wealth

    Scottsdale, AZ
    5 days ago
  • 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... 

    Cfins

    Scottsdale, AZ
    5 days ago
  • $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... 

    Crum & Forster

    Scottsdale, AZ
    5 days ago
  • $55k - $65k

    Associate, Saver Operations | Vestwell The Tone: This is a full-time role at Vestwell, located...  ...needs. This role is crucial for processing distributions and loans from retirement...  ...retirement plans accurately and efficiently. Compliance: Adhere to company procedures,... 
    Full time
    Work at office

    Vestwell

    Scottsdale, AZ
    2 days ago
  • Join to apply for the People Operations Coordinator role at DAS Technology 1 day ago Be among...  ...accuracy and completeness. •Optimize Processes: Monitor systems and suggest process...  ...tracking for key HR data, reports, and compliance needs. Who You Are: •Methodical and thorough... 
    Full time
    Work at office
    Local area

    DAS Technology

    Scottsdale, AZ
    1 day ago
  •  ...running smoothly, from behind-the-scenes operations to internal financial HR systems? Do you enjoy supporting a team, managing processes, and bringing consistency to a fast-...  .../quarterly/yearly systems such as OSHA compliance, laser protocols and compliance, state inspections... 
    Full time
    For contractors
    Work at office
    Monday to Friday
    Flexible hours
    Day shift

    Bellesante PLLC

    Scottsdale, AZ
    19 days ago
  • Vanguard is seeking the Head of Brokerage Trade Operations to lead Margin, Securities Lending, and Asset Servicing for its retail broker-dealer...  ...This executive role oversees risk management, regulatory compliance, and operational effectiveness across a broad set of high-... 

    Vanguard Group

    Scottsdale, AZ
    5 days ago
  • $500 per month

     ...global leader in agent-first brokerage infrastructure  for stocks,...  ...Your Role: As an Trading Operations Associate, you will provide...  ...trading operations desks, IT, and compliance teams, you'll resolve issues...  ...management, order entry, processing, execution, FIX sessions,... 
    Local area
    Home office

    Alpaca

    Scottsdale, AZ
    7 days ago
  • $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 job
    Hourly pay

    Guidant Financial

    Scottsdale, AZ
    4 days ago
  • $66k - $104.5k

     ...Responsible for supporting the oversight of the systems, processes, and analytics that enable revenue growth and operational efficiency within the Consumer Direct lending...  ...revenue processes to ensure scalability, compliance, and efficiency.Supports cross-functional... 
    Local area

    loanDepot

    Scottsdale, AZ
    3 days ago
  • Key ResponsibilitiesGlobal Operations Leadership & DeliveryLead day-to-day execution of global...  ...ImprovementEvaluate operational processes using data and performance metrics to identify...  ...strong control environment and compliance with internal policies and regulatory requirementsPartner... 
    Full time

    Vanguard

    Scottsdale, AZ
    2 days ago
  •  ...Gopuff is looking for Operations Associates (OAs) to join the operations team. Directly reporting to a Site Leader, OAs play an essential...  ...overall facility -Manage waste and spoilage through strict compliance with FIFO practice -Contact customer for substituted or out-... 
    Permanent employment
    Full time
    Temporary work
    Flexible hours
    Shift work
    Night shift
    Day shift
    Afternoon shift

    Gopuff

    Scottsdale, AZ
    14 hours ago
  •  ...matter.Your ImpactAs a Deal Enablement Specialist supporting the US Public Sector Sales team...  ...and blockers to closure.Identify process bottlenecks and propose targeted improvements...  ...years of experience in deal desk, revenue operations, contract management, sales support, or... 
    Contract work
    Work at office
    Remote work

    Axon

    Scottsdale, AZ
    14 hours ago
  • $108k - $115k

     ...PURE HomeRiver is looking for an Operations Manager Come join our team! PURE HomeRiver...  ...your team accountable to performance. Compliance and operations matter, but you see them...  ...agreements, and the security deposit disposition process. The Operations Manager is totally... 
    Work at office
    Local area

    Pure Employment LLC

    Scottsdale, AZ
    1 day ago
  •  ...to delivering exceptional service and operational excellence throughout the new business...  ...applicable procedures. Ensure accurate, timely processing and case follow-up. Process Improvement...  ...corrective actions. Partnership & Compliance Collaborate with Suitability, Licensing... 
    Remote work

    Sagicor Life Insurance Company USA

    Scottsdale, AZ
    2 days ago
  • Join to apply for the Operations Supervisor role at CNA National CNA National seeks an experienced...  ...a team responsible for business intake processes, including contract processing,...  ...and external customers. Ensure compliance with established policies and procedures... 
    Full time
    Contract work
    Work at office

    CNA National

    Scottsdale, AZ
    1 day ago
  •  ...industrial, and cloud markets. With global fab operations, design centers, and a worldwide supply...  ...into the operating model. Governance, Compliance & Collaboration Ensure security...  ...to complete any part of the application process, or are limited in the ability or unable... 
    Contract work
    Work at office
    Local area
    Worldwide

    Onsemi

    Scottsdale, AZ
    1 day ago

Do you want to receive more vacancies?

Subscribe and receive similar vacancies to Brokerage Operations Specialist: Compliance & Processing. Be the first to apply!