Brokerage Ops Quality Assurance Specialist

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

Benefits offered by this job

Medical, dental, vision and life insur

401(k) plan with company matching up

Tuition reimbursement

Paid time off and holidays

Volunteer time

Parental leave and disability

BRGs and inclusive culture

Job summary

Empower Retirement in Greenwood Village, CO is seeking a Brokerage Operations Quality Specialist to ensure seamless back-office brokerage processing and post-transaction quality assurance.

You will approve enrollments, maintenance, transfers, and complex service issues, identify processing trends, and mentor brokerage representatives while supporting FINRA/SEC requests. The role offers a comprehensive benefits package and a base salary range of 59,700–84,300.

Qualifications

• Bachelor's degree or equivalent combination of education and 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 approve 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

Attention to detail

Communication

Education

Bachelor's degree or equivalent

Tools

NetX 360/Pershing

Job description

Empower Retirement in Greenwood Village, CO is seeking a Brokerage Operations Quality Specialist to ensure seamless back-office brokerage processing and post-transaction quality assurance.

You will approve enrollments, maintenance, transfers, and complex service issues, identify processing trends, and mentor brokerage representatives while supporting FINRA/SEC requests. The role offers a comprehensive benefits package and a base salary range of 59,700–84,300.