Note: The job is a remote job and is open to candidates in USA. Osaic, Inc. is a customer-facing organization that engages directly with over 11,000 Financial Professionals across the country. The Principal role involves performing a variety of administrative and sales support duties, ensuring compliance and providing best-in-class service to clients.

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

Skills

• Minimum of high school diploma or equivalent is required
• 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
• 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
• FINRA Series 7 license, other FINRA licenses

Benefits

• Annual performance-based bonus
• Health, vision, dental insurance
• 401k
• Paid time away
• Volunteer days

Company Overview