Brokerage Product Ops Specialist — Remote

Empower Retirement; Greenwood Village (CO); Remote; USD 66.000 - 93.000; Vollzeit

Benefits dieser Stelle

Medical, dental, vision and life保险

401(k) with company matching

Tuition reimbursement

Paid time off and holidays

Volunteer time off

Zusammenfassung

Empower Retirement seeks an experienced Brokerage Product Operations Consultant to serve as SME and registered principal for self-directed brokerage products and operations. You will supervise, review, and resolve complex issues while mitigating regulatory risk and coordinating with multiple teams.

The role partners with external firms, vendors and internal groups to support product changes, controls, and service delivery, driving improvements and ensuring compliance across brokerage activities.

Qualifikationen

• Bachelor's degree or equivalent experience in business/finance.
• 3+ years in financial services with brokerage operations or processing.
• Knowledge of self-directed brokerage products and regulatory requirements.
• FINRA registrations 7, 24, 63 and fingerprinting required.
• Strong analytical, communication, and issue-resolution skills.

Aufgaben

• Serve as SME and registered principal for SDB products and operations.
• Perform supervisory reviews and oversight per regulatory policies.
• Oversee SDB processing: new accounts, maintenance, transfers, requests.
• Investigate complex issues to ensure timely, accurate resolution.
• Provide guidance and training to internal partners on brokerage topics.
• Collaborate with Legal, Compliance, Operations, Sales and IT teams.

Kenntnisse

Brokerage operations

Transaction processing

Regulatory requirements

Supervisory reviews

SDB products knowledge

Ausbildung

Bachelor's degree in Business/Finance or related field

Tools

Microsoft Office

Jobbeschreibung

Empower Retirement seeks an experienced Brokerage Product Operations Consultant to serve as SME and registered principal for self-directed brokerage products and operations. You will supervise, review, and resolve complex issues while mitigating regulatory risk and coordinating with multiple teams.

The role partners with external firms, vendors and internal groups to support product changes, controls, and service delivery, driving improvements and ensuring compliance across brokerage activities.