Brokerage Operations Quality Lead – Remote

Empower; Greenwood Village (CO); Remote; USD 60,000 - 84,000; Full time

Benefits offered by this job

Medical, dental, vision insurance

401(k) with company match

Tuition reimbursement

Paid time off and holidays

Volunteer time off

BRGs and inclusive culture

Job summary

Empower is seeking a Brokerage Operations Quality Specialist to ensure seamless back-office functions for our brokerage services. You will handle daily approvals, escalations, and post-transaction quality assurance, while investigating issues and supporting audits.

You will mentor brokerage representatives, focus on risk mitigation, and collaborate with internal teams to improve processes in a fast-paced environment.

Qualifications

• 1+ years of experience in brokerage services/operations.
• FINRA 7 registrations required.
• FINRA fingerprinting required.

Responsibilities

• Provide accurate quality results and administer quality control standards for Brokerage processing.
• Review and approval of new account enrollments, maintenance, ACH set-up, distributions, and incoming account transfers.
• Approve pending transactions as part of quality review.
• Identify processing trends and communicate them to management with recommended changes.
• Handle escalated and complex service issues.
• Train and mentor brokerage representatives.
• Act as a Subject Matter Expert for Self-Directed Brokerage plan conversions and maintenance, handling setup, transactions, and research.
• Support the business in responding to FINRA, SEC, and Internal Audit requests.
• Focus on mitigating risk to the brokerage business through trading and security review, identifying gaps in existing processes and procedures, and identifying red flag/AML/fraudulent account activity

Skills

Brokerage operations

FINRA 7

FINRA fingerprinting

Education

Bachelor's degree

Job description

Empower is seeking a Brokerage Operations Quality Specialist to ensure seamless back-office functions for our brokerage services. You will handle daily approvals, escalations, and post-transaction quality assurance, while investigating issues and supporting audits.

You will mentor brokerage representatives, focus on risk mitigation, and collaborate with internal teams to improve processes in a fast-paced environment.