Equity, Securities Operations

• Service the trading needs of representatives for the Osaic Advisor Network
• Process and facilitate equity and option transactions from representatives
• Field inquiries regarding securities, policies, quotes, and fees
• Process trade errors for the firm and representatives
• Review transactions for alignment with market and firm guidelines
• Prioritize information requiring immediate attention
• Ensure timely follow-up on issues and inquiries
• Provide educational and trade platform navigational guidance
• Work with team members on equity trading activities, including placing trades, processing trade errors, and managing risk
• Perform other duties as assigned

• Minimum of high school diploma or equivalent is required
• Bachelor's degree preferred
• Significant experience may be considered in lieu of a bachelor's degree
• 1+ years of customer service or contact center experience
• FINRA Series 7 & 63 license required
• Proficiency at Microsoft Word, Excel, Internet Explorer, Outlook, and Power Point
• Excellent communication and organizational skills
• Basic technical skills to navigate various systems
• Strong customer focus orientation
• High attention to detail, analytical mindset, and problem-solving skills
• Ability to work independently and maintain elevated levels of quality
• Self-motivated and capable of meeting departmental expectations and deadlines
• Ability to participate and contribute to a team environment
• Preferred: 1+ years' experience in financial services operations or broker-dealer setting
• Preferred: CRM/Salesforce experience
• Applicants should be located at one of the listed hubs and willing to work a minimum of 4 days weekly in the office

Demonstrates strong customer service skills with a focus on equity and option transactions, ensuring compliance with market and firm guidelines. Proficient in navigating trade platforms and providing educational support while maintaining high attention to detail and organizational standards.

• FINRA Series 7 License
• FINRA Series 63 License
• Customer Service Experience
• Microsoft Excel Proficiency
• CRM/Salesforce Experience

• Equity Transactions
• Option Transactions
• Trade Error Processing
• Market Guidelines Review
• Analytical Skills

• Excellent Communication
• Organizational Skills
• Problem-Solving Skills
• Self-Motivated
• Team Collaboration

• High School Diploma
• Bachelor's Degree Preferred
• FINRA Series 7 License
• FINRA Series 63 License

• Financial Services Operations
• Broker-Dealer Setting
• Customer Focus Orientation
• Trade Platform Navigation
• Contact Center Experience

• Microsoft Word
• Microsoft Excel
• Internet Explorer
• Outlook
• Power Point