Financial Advisor (Scottsdale)
10 hours ago
Scottsdale
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 Clients 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 Client’s platforms, products, and policies. The Operations Center is designed as an entry point to the organization, offering hands-on experience, ongoingtraining, 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 client, 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, • 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., • 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 Dexian is a leading provider of staffing, IT, and workforce solutions with over 12,000 employees and 70 locations worldwide. As one of the largest IT staffing companies and the 2nd largest minority-owned staffing company in the U.S., Dexian was formed in 2023 through the merger of DISYS and Signature Consultants. Combining the best elements of its core companies, Dexian's platform connects talent, technology, and organizations to produce game-changing results that help everyone achieve their ambitions and goals. Dexian's brands include Dexian DISYS, Dexian Signature Consultants, Dexian Government Solutions, Dexian Talent Development and Dexian IT Solutions. Visit ___ to learn more. Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.