Brokerage Operations Quality Specialist

empower; United States; Remote; USD 60,000 - 84,000; Full time

Benefits offered by this job

Medical, dental, vision and life ins.

401(k) with company matching

Tuition reimbursement

Paid time off and holidays

Volunteer time off

Flexible work environment

Job summary

Empower seeks a Brokerage Operations Quality Specialist to ensure back-office integrity of brokerage and Self-Directed services. You will handle daily approvals, escalations, QA, research, and post-transaction processing while supporting risk controls.

Bachelor's degree required with 1+ year brokerage operations experience and FINRA 7; fingerprinting required. This role offers a comprehensive benefits package, strong work-life balance, and remote-friendly options in the United States.

Qualifications

• Bachelor's degree or an equivalent combination of education and professional work experience
• 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

Quality assurance

Risk management

Education

Bachelor's degree

Job description

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them. Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.

As a Brokerage Operations Quality Specialist, you will be key to ensuring the seamless back-office functions of our brokerage and Self-Direct Brokerage services. You will be accountable for daily approvals and escalations, ensuring department quality and time standards are met, as well as post-transaction quality assurance, research, reconciliations, and reprocessing functions. Join us in delivering exceptional service, handling diverse client requests, and becoming a vital part of our dynamic team shaping the future of financial empowerment.

What you will do

• 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

What you will bring

• Bachelor's degree or an equivalent combination of education and professional work experience
• 1+ years of experience in brokerage services/operations
• FINRA 7 registrations required
• FINRA fingerprinting required

What will set you apart

• NetX 360/Pershing experience a plus.
• Basic Microsoft Office knowledge; proven brokerage operations and industry knowledge.
• Excellent communication and organizational skills with strong attention to detail
• Ability to multi-task and prioritize workload in a high-paced environment to complete tasks within established timelines.
• Ability to collaborate with Service, Sales, internal business partners, and External Vendors

#LI-Remote #PJPW2

Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.

What we offer you

• Medical, dental, vision and life insurance
• Retirement savings - 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
• Tuition reimbursement up to $5,250/year
• Business-casual environment that includes the option to wear jeans
• Generous paid time off upon hire - including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
• Paid volunteer time - 16 hours per calendar year
• Leave of absence programs - including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
• Business Resource Groups (BRGs) - BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.

Base Salary Range $59,700.00 - $84,300.00 The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education licensure requirements and/or skill level and will be finalized at the time of offer.

Equal opportunity employer - Drug-free workplace

We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age (40 and o