Remote Brokerage Operations Lead – Self-Directed

Empower Retirement, LLC; Overland Park (KS); Hybrid; USD 66,000 - 93,000; Full time

Benefits offered by this job

Medical, dental, vision

401(k) with company match

Tuition reimbursement

Paid time off

Volunteer time off

Parental leave

Job summary

Empower Retirement, LLC is seeking a Brokerage Product Operations Consultant to serve as a subject matter expert and registered principal for self-directed brokerage (SDB) products and operations in an environment that values purpose, well-being, and work-life balance.

The role includes supervisory reviews, overseeing SDB processing, and collaborating with Legal, Compliance, and Operations to ensure regulatory compliance and service excellence.

Qualifications

• Bachelor's degree in Business or Finance or related field or equivalent experience.
• 3+ years of financial services with brokerage products or operations.
• FINRA Series 7, 24, and 63 registrations required.
• Demonstrated ability to analyze and resolve complex brokerage/regulatory issues.

Responsibilities

• Serve as subject matter expert and registered principal for self-directed brokerage products and operations.
• Perform supervisory reviews and principal-level oversight per regulatory requirements.
• Oversee SDB brokerage processing including account opening, maintenance, and asset transfers.
• Monitor and resolve complex brokerage applications and service requests.
• Collaborate across Legal, Compliance, Operations, Sales, and IT to coordinate activities.
• Support regulatory, product, and technology initiatives with requirements and testing.

Skills

SDB knowledge

Brokerage ops

Regulatory compliance

Supervisory reviews

Problem solving

Communication

Education

Bachelor's degree

Tools

MS Office

Regulatory software

Job description

Empower Retirement, LLC is seeking a Brokerage Product Operations Consultant to serve as a subject matter expert and registered principal for self-directed brokerage (SDB) products and operations in an environment that values purpose, well-being, and work-life balance.

The role includes supervisory reviews, overseeing SDB processing, and collaborating with Legal, Compliance, and Operations to ensure regulatory compliance and service excellence.