Principal

🕒 August 18

🌵 Arizona – Remote

🌵 Arizona – Remote

💵 $70k / year

⏰ Full Time

🔴 Lead

👻 Ghost score 17%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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Osaic

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

💸 Finance

🤝 B2B

Finance • B2B

Osaic is one of the nation’s largest providers of wealth management solutions. It is home to a diverse, service-driven community of professionals who emphasize transformative planning for the future rather than transactional approaches. With over 11,000 financial professionals and more than 270 financial institutions, Osaic manages assets exceeding $700 billion. The company offers comprehensive support and resources to help its partners enhance profitability and achieve personalized business goals. Osaic's community is built on diversity and collaboration, offering securities and investment advisory services through its broker-dealers and registered investment advisers.

📋 Description

• Engage directly with customers, including more than 11,000 Financial Professionals across the country • Perform administrative and sales support duties supporting Investment Executives • Verify compliance of transactions and documentation • Validate client documents for compliance, completeness, and accuracy • Handle requests via phone, Service Center, or document management system, including executing trades as needed • Maintain electronic client files and documentation on proprietary web-based software system • Provide high-level service and responsiveness to customers • 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 or declining suitability of accounts and trades • Perform all other duties as assigned

🎯 Requirements

• 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 • FINRA Series 7 & 24 license • Preferred: 3+ years' experience in financial services operations or broker-dealer setting • Preferred: Bachelor's degree in business, Finance or related field • CRM experience / Salesforce experience • Completion of FINRA SIE exam

🏖️ Benefits

• Annual performance-based bonus • Health insurance • Vision insurance • Dental insurance • 401k • Paid time away • Volunteer days