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60 Advisor Group Audit Manager Jobs Hiring Near You

Advisor Group

IAM Engineer II

Scottsdale, AZ · Hybrid

$120K - $140K/yr

Collect and maintain evidence for audits and identity reviews. * Follow established change ... Hands-on experience with user and group management. * Familiarity with SAML, OIDC, and basic ...

Advisor Group

IAM Engineer II

Scottsdale, AZ · On-site

$120K - $140K/yr

Collect and maintain evidence for audits and identity reviews. * Follow established change ... Hands-on experience with user and group management. * Familiarity with SAML, OIDC, and basic ...

Advisor Group

Sales Supervision Principal

Scottsdale, AZ · On-site

$65K - $75K/yr

Maintains an ongoing positive relationship with Advisors and First-Line Supervisors in collaboration with the Supervision of Regional Vice Presidents (SRVPs) and Regional Sales Managers (RSMs) * All ...

Advisor Group Inc.

VP, Advisor Engagement

Atlanta, GA · On-site

$140 - $155/hr

The VP, Advisor Engagement will drive strategy and execution within the field of financial ... Support financial professionals through change management initiatives, including technology ...

Advisor Group

Senior Accountant

Scottsdale, AZ · On-site

$85K - $105K/yr

This position will focus on delivering accurate close results, reconciliations and audit procedures ... Works closely with management on various projects, including M&A, System development, Efficiency ...

Advisor Group

Branch Office Examiner

Scottsdale, AZ · On-site

$65K - $75K/yr

Educate OSJ Managers, Financial Advisors and support staff on various industry rules, regulations, and firm policies during the exam. * Identify and share best practices with OSJ Managers regarding ...

Advisor Group

Senior Accountant

Scottsdale, AZ · On-site

$90 - $105/hr

This position will focus on delivering accurate close results, reconciliations and audit procedures ... Works closely with management on various projects, including M&A, System development, Efficiency ...

Advisor Group

Supplier Manager

Scottsdale, AZ · On-site

$100 - $125/hr

Procurement Opportunity in Financial Services - Supplier Manager Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite 750, Atlanta, GA 30339 La Vista: 12325 Port Grace Blvd, La Vista, NE 68128 ...

Advisor Group

SVP, Business Development

Scottsdale, AZ · On-site

$160K - $185K/yr

Nurture new leads and build relationships with qualified Financial Advisors and Enterprises and actively manage a sales pipeline through execution of the sales process * Develop and implement a ...

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Operations Processing Specialist

Advisor Group

Scottsdale, AZ • On-site

$43K - $48K/yr

Full-time

Medical, Dental, Vision, Retirement

Re-posted 26 days ago

Job description

Current Employees and Contractors Apply Here
Osaic Careers
Customer Service Opportunity in Financial Services
Operations Processing Specialist
New Graduates Will Be Considered
Location(s):
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
Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
Osaic requires a minimum of four (4) days per week working in the office. Applicants must be able to meet this in-office attendance requirement based on an assigned schedule, regardless of your commuting distance or personal travel time to the designated office location.
Osaic is not considering remote candidates at this time
Role Type: Full-time, Non-Exempt
Salary: $43,000 - $48,000 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: Osaic Benefits.
Summary:
We are seeking a detail-oriented Processing Specialist to join our Financial Services team, supporting the efficient and accurate handling of brokerage account documentation. In this role, you will be responsible for reviewing, validating, and processing a variety of client account requests-including account openings, transfers, maintenance money movement, and regulatory documentation-while ensuring compliance with firm policies and industry standards.
At the core of this role is a commitment to delivering an exceptional service experience. You will act as a trusted partner to both financial professionals and internal stakeholders-prioritizing responsiveness, accountability, and clear communication. Success in this position requires a proactive mindset, a willingness to go above and beyond, and a genuine dedication to helping others.
Starting your career within Osaic's Processing Center provides a strong foundation for long-term growth within the firm. In this role, you'll build a deep base of knowledge by supporting financial professions and their teams, learning core operational processes, and developing expertise across Osaic's platforms, products, and policies. The Operations Center is designed as an entry point to the organization, offering hands-on experience, ongoing training, and exposure to multiple areas of the business. As you develop your skills and discover your strengths, you'll have opportunities to expand your responsibilities and explore diverse career paths across Osaic, shaping a future that aligns with your ambitions and potential.
Education Requirements:
High School Diploma or equivalent (GED) required
Responsibilities:
Operations Processing
  • Process brokerage account documents with a high degree of accuracy and within established service level timelines
  • Review incoming documentation for completeness, ensuring all required fields, signatures, and supporting materials are present
  • Validate transactions against firm policies, industry regulations, and compliance standards
  • Identify and resolve discrepancies, missing information, or errors prior to processing
  • Ensure strict adherence to regulatory requirements (e.g., KYC, AML, and account registration rules)
  • Maintain precise records and audit trails for all processed transactions
  • Prioritize workload effectively to meet deadlines in a high-volume processing environment
  • Collaborate with internal partners to clarify requests and facilitate timely resolution
  • Continuously monitor for risk and escalate potential compliance issues when identified
  • Apply strong attention to detail to minimize errors and uphold data integrity across systems

Client, Advisor & Clearing Firm Interaction
  • Interact with financial advisors, clearing firms, custodians, and other external partners on routine and complex account transfer requests.
  • Provide timely and accurate status updates within contact management and workflow systems.
  • Make outbound phone calls to financial professionals as needed to resolve transfer issues and communicate status updates.
  • Build and maintain strong working relationships with vendors, internal stakeholders, and financial professionals.

Operational Excellence & Cross-Functional Support
  • Maintain a strong understanding of clearing firm processes and policies and how they align or differ from internal procedures.
  • Act as back-up support to co-workers by cross-training on all department functions and demonstrating flexibility during periods of increased workflow.
  • Remain current on changes to industry regulations, clearing firm procedures, and internal business processes.
  • Perform additional duties as assigned.

Customer Support & Phone Inquiries
  • Answer inbound calls from financial professionals in a courteous, professional, and timely manner
  • Respond to questions regarding accounts, products, services, and procedures
  • Research and resolve issues efficiently, escalating complex matters as needed
  • Document all interactions accurately in internal systems

Collaboration & Continuous Improvement
  • Work closely with internal teams to resolve inquiries and improve service delivery
  • Identify trends or recurring issues and provide feedback to leadership
  • Contribute to a positive team environment and customer-focused culture

Basic Requirements:
  • Customer-focused mindset
  • Attention to detail and accuracy
  • Problem-solving and critical-thinking skills
  • Time management and organizational skills
  • Motivated individuals looking to grow a career in the Financial Services industry
  • Proficient with Windows Microsoft Excel, Word, Outlook and Internet
  • Ability to read & interpret company policies, operations manuals, & technical guides

Preferred Requirements:
  • For new graduates: internship, co-op experience, prior work experience
  • 1 years' experience of brokerage experience
  • Completion of the FINRA SIE exam
  • FINRA Series 7
  • Experience with Envestnet / Wealth Management Platform
  • Bachelor's degree in business, Finance or related field is preferred
  • Prior Experience or Exposure Including: Financial Services, Investment Advisory, Billing, Accounting, Customer Service, Advisor Support, Client Support, Operations Support, Account Management, Broker-Dealer, Financial Advisor, Support Representative, Customer Service Representative, Back Office Operations

Current Employees and Contractors Apply Here
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About Advisor Group

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Be a part of the team behind our success! At Advisor Group, we support financial professionals nationwide, the people who help everyday Americans achieve their dreams. We're a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Industry

Finance and insurance

Company size

1,001 - 5,000 Employees

Headquarters location

Phoenix, AZ, US

Year founded

1988

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