Title: Operations Processing Specialist
Location: Oakdale, MN / Scottsdale, AZ/ La Vista, NE/ Atlanta, GA/ St. Petersburg, FL
Duration: Permanent (Direct - hire)
JOB DESCRIPTION:
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.
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
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 MS 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 https://dexian.com/ 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.
