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60 Advisor Group Audit Manager Jobs Hiring Near You

Advisor Group

VP, Data Architecture

Oakdale, MN

$200K - $230K/yr

... management platforms. You will modernize a multi-layered enterprise data ecosystem, establish the governance framework for trusted and compliant data, and directly impact advisor productivity, payout ...

Posted today

Advisor Group

Business Development Manager

Atlanta, GA · On-site

$55K - $60K/yr

... Manager Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339 La Vista:12325 ... Provide a five-star experience to prospective financial advisors by guiding them through recruiting ...

Advisor Group

VP, Data Architecture

La Vista, NE

$200K - $230K/yr

... management platforms. You will modernize a multi-layered enterprise data ecosystem, establish the governance framework for trusted and compliant data, and directly impact advisor productivity, payout ...

Posted today

Advisor Group

VP, Data Architecture

Scottsdale, AZ

$200K - $230K/yr

... management platforms. You will modernize a multi-layered enterprise data ecosystem, establish the governance framework for trusted and compliant data, and directly impact advisor productivity, payout ...

Posted today

Advisor Group

Finance Manager, Technology

Scottsdale, AZ · On-site

$120K - $140K/yr

Act as a trusted advisor to the executive team, offering insights into financial trends and ... Management Reporting * Prepare monthly, quarterly, and annual financial reports, including variance ...

Advisor Group

VP, Data Architecture

Atlanta, GA

$200K - $230K/yr

... management platforms. You will modernize a multi-layered enterprise data ecosystem, establish the governance framework for trusted and compliant data, and directly impact advisor productivity, payout ...

Posted today

Advisor Group

Storage Engineer I

La Vista, NE · On-site

$60K - $79K/yr

Manage and maintain software and firmware levels of systems on a regular basis. Secondary ... Additional duties include providing security analysis, participation in audits, general data center ...

Advisor Group

Client Support Specialist

La Vista, NE · On-site

$45K - $48K/yr

Financial Services, Investment Advisory, Billing, Accounting, Customer Service, Advisor Support, Client Support, Operations Support, Account Management, Broker-Dealer, Financial Advisor, Support ...

Advisor Group

IA Processing Specialist

Atlanta, GA · On-site

$53K - $55K/yr

Keys: Financial Services, Investment Advisory, WMP (Envestnet), Billing, Accounting, Customer Service, Advisor Support, Client Support, Operations Support, Account Management, Broker-Dealer ...

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

VP, Data Architecture

Petersburg, VA

$200K - $230K/yr

... management platforms. You will modernize a multi-layered enterprise data ecosystem, establish the governance framework for trusted and compliant data, and directly impact advisor productivity, payout ...

Posted today

Advisor Group

Senior Supplier Manager

Scottsdale, AZ · On-site

$115K - $135K/yr

Current Employees and Contractors Apply Here Osaic Careers Procurement Opportunity in Financial Services Senior Supplier Manager Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA ...

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

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

Regional Supervision Manager

Scottsdale, AZ · On-site

$70K - $80K/yr

Summary: The Regional Supervision Manager (RSM) is responsible for the review of Brokerage, Advisory and Directly held transactions as presented within the back-office systems; ensuring those ...

Advisor Group

IA Processing Specialist

Atlanta, GA · On-site

$48K - $50K/yr

Keys: Financial Services, Investment Advisory, WMP (Envestnet), Billing, Accounting, Customer Service, Advisor Support, Client Support, Operations Support, Account Management, Broker-Dealer ...

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Infographic showing various Audit Manager job openings at Advisor Group in the United States as of August 2026, with employment types broken down into 100% Full Time. Highlights an 62% Physical, and 38% Hybrid job distribution.

Operations Processing Specialist

Advisor Group

Scottsdale, AZ • On-site

$43K - $48K/yr

Full-time

Medical, Dental, Vision, Retirement

Re-posted 4 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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