Brokerage Processing Specialist

Empower Retirement, LLC; Overland Park (KS); Hybrid; USD 55,000 - 76,000; Full time

Benefits offered by this job

401(k) with company match up to 6%

Tuition reimbursement

Paid time off + holidays

Volunteer paid time off

Jeans allowed at work

Medical/dental/vision

Job summary

Empower Retirement, LLC is seeking a Brokerage Operations Specialist to ensure back-office processing for brokerage services. You will review applications, set up accounts, process contributions, and handle asset movement tasks, while delivering timely client updates and supporting audits and projects.

Strong communication and organization are essential. Qualifications include a bachelor’s degree or equivalent and 1+ year in brokerage ops, with FINRA 7/24/63 and fingerprinting required.

Qualifications

• Bachelor’s degree or equivalent education/experience.
• 1+ years of experience in brokerage services/operations.
• FINRA 7, 24 and 63 registrations required; fingerprinting also required.

Responsibilities

• Review new applications and set up new accounts for Brokerage.
• Process contributions and perform suitability reviews as needed.
• Provide updates to clients on status of items.
• Draft customer correspondence during Brokerage processing.
• Assist with audits, reporting and projects monthly/quarterly.

Skills

FINRA registrations

Attention to detail

Multitasking

Education

Bachelor’s degree or equivalent

Tools

NetX 360

Pershing

MS Office

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 Specialist, your expertise will be key to ensuring the seamless back-office functions of our brokerage and Self-Directed brokerage services by reviewing and accepting new applications, processing account updates, and processing asset movement tasks. 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

• Review new applications, complete setup of new accounts, process contributions received, and perform suitability review of new accounts as needed for the Brokerage line of business
• Perform daily reviews of outstanding applications and customer requests to ensure timely processing and positive customer experience
• Provide ongoing updates to internal and external clients regarding the status of items
• Draft correspondence with customers as needed during Brokerage processing
• Assist with recurring audits, reporting, and projects on a monthly/quarterly basis

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 in the financial services industry
• FINRA 7, 24, and 63 registrations required
• FINRA fingerprinting required

What will set you apart

• NetX 360/Pershing experience a plus
• Basic Microsoft Office 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 and work with all levels of management and teammates to accomplish daily deliverables with experience in managing escalated situations

***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 $55,300.00 - $76,075.00 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 over), race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.

Remote and Hybrid Positions

For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment will be provided. You may be required to work in the office if you do not have an adequate home work environment and the required internet connection.

Job Posting End Date at 12:01 am on: 09-23-2026