Brokerage Associate

Job Title: Brokerage Operations Specialist Salary: $43000 - $46000 Permanent Location: Atlanta, GA Hybrid - 4 days onsite, 1 day remoteSummary: 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 company'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 company 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 company, shaping a future that aligns with your ambitions and potential.Education Requirements:High School Diploma or equivalent (GED) requiredResponsibilities: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 systemsClient, Advisor & Clearing Firm InteractionInteract 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 SupportMaintain 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 InquiriesAnswer inbound calls from financial professionals in a courteous, professional, and timely mannerRespond to questions regarding accounts, products, services, and proceduresResearch and resolve issues efficiently, escalating complex matters as neededDocument all interactions accurately in internal systemsCollaboration & Continuous ImprovementWork closely with internal teams to resolve inquiries and improve service deliveryIdentify trends or recurring issues and provide feedback to leadershipContribute to a positive team environment and customer-focused cultureBasic 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 industryProficient with Windows MS Excel, Word, Outlook and InternetAbility to read & interpret company policies, operations manuals, & technical guidesPreferred Requirements:For new graduates: internship, co-op experience, prior work experience 1 years' experience of brokerage experienceCompletion of the FINRA SIE examFINRA Series 7Experience with Envestnet / Wealth Management PlatformBachelor'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.

Created: 2026-05-10