Brokerage Product Ops & Registered Principal (Remote)

Empower; United States; Hybrid; USD 66,000 - 93,000; Full time

Benefits offered by this job

Medical, dental, vision and life ins.

401(k) with company match

Tuition reimbursement

Business-casual environment

Paid time off + holidays

Volunteer time off

Parental leave and disability leave

BRGs open to all

Job summary

Empower is seeking a Brokerage Product Operations Consultant to serve as SME and registered principal for self-directed brokerage (SDB) products and operations. You will oversee processing, review supervisory controls, and resolve complex issues while partnering with internal teams and external providers.

The role focuses on regulatory compliance, risk mitigation, and continuous improvement of processes and systems to enhance client experience and operational efficiency.

Qualifications

• Bachelor’s degree in Business, Finance, or related field.
• 3+ years of financial services experience with brokerage products/operations.
• FINRA registrations (Series 7, 24, 63) required; fingerprinting.
• Ability to analyze complex issues and communicate regulatory requirements clearly.

Responsibilities

• Serve as SME and principal for SDB products and operations.
• Perform supervisory reviews and oversight per regulatory requirements.
• Handle SDB processing: new accounts, openings, maintenance, transfers.
• Investigate and resolve complex or escalated issues to ensure timely completion.
• Identify and mitigate regulatory, financial, and operational risks.

Skills

Brokerage operations

Regulatory knowledge

Analytical problem solving

Communication skills

Education

Bachelor's degree in Business or Finance

FINRA Series 7/24/63

FINRA Fingerprinting

Tools

Microsoft Office

Brokerage systems

Regulatory software

Job description

Empower is seeking a Brokerage Product Operations Consultant to serve as SME and registered principal for self-directed brokerage (SDB) products and operations. You will oversee processing, review supervisory controls, and resolve complex issues while partnering with internal teams and external providers.

The role focuses on regulatory compliance, risk mitigation, and continuous improvement of processes and systems to enhance client experience and operational efficiency.