Operations Processing Specialist

Customer Service Opportunity in Financial Services

Operations Margin Specialist

Training Class Start Date 11/3/2025

Location(s):

Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 (#1 preferred location)

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.

You will spend the first several weeks in training.  The schedule for training most likely will be different than your ultimate assigned schedule as the virtual training is set up covering all three time zones at once.  

Role Type:        Full-time, Non-Exempt

Salary:  $55,000 - $65,000 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. To view more details of what you can look forward to, visit our careers page: 

https://careers.osaic.com/Creative/Benefits.

Summary:

The Operations Margin Specialist is part of a team collaborating in a fast-paced environment, with a client-centric focus on providing a high level of service to financial professionals, continuous risk mitigation and process improvement. As a member of the team, the specialist will be responsible for accurate, timely and efficient processing with a focus on contacting financial professionals for margin transactions and interacting with clearing firms Pershing LLC and National Financial Services. Further, the candidate will be responsible for research, annuity linking, cost basis, rule 144, collateral loans, and death put transactions within Brokerage Operations.

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:

• Daily monitoring and maintenance of items including but not limited to margin calls, Reg T violations, Cash/Stock Due, debit balances, and trade-related items, in accordance with firm and regulatory guidelines.

• Intermediate problem solving of daily notices issued by the clearing firm, to mitigate risk on items such as regulatory violations, including working with the Trade Desk to correct/cancel buys.

• Routinely communicating with clearing firms and our financial advisors via phone calls and our operations communication system, to resolve various margin-related issues as well as any Cash Due and Insufficient Fund notices, for timely resolution within firm and regulatory guidelines.

• Participating in various audits to mitigate risk to the firm and clients. 

• Process a variety of complex brokerage and non-brokerage account requests with a high degree of accuracy.

• Act as subject matter expert for various responsibilities within brokerage Operations, including Margin.

• Act as back-up to co-workers and senior processors through cross-training on all department functions 

• Answer internal and external phone calls; make outbound phone calls to our financial professionals.  

• Exercise judgment to know when to escalate issues to leadership.

• Participate in projects as needed.

• Create a strong working relationship with clearing firms, financial professionals, and internally across departments.  

• Keep up to date on firm policy and procedure changes as well as industry changes. 

• All other duties as assigned.

Basic Requirements:

• 3-8 years of experience in financial services 

• Must be team-oriented and client-focused. 

• Must be able to prioritize and handle multiple tasks and deadlines simultaneously.

• Ability to work overtime, including weekends, as needed to support heavy work volume when applicable. 

• Required technical strength to work within the firm’s technology and Microsoft office tools.

• Proficiency in the Microsoft programs, specifically Excel 

• Strong knowledge of securities industry rules and best practices regarding brokerage account operations 

• Strong organizational and time management skills 

• Demonstrated high attention to detail and accuracy. 

Preferred Requirements:

• FINRA Series 7 preferred, or successful completion within one year of hire

• Experience with Wealthscape and NetX360+

• Margin