Remote Brokerage Operations Quality Specialist

Empower Retirement, LLC; Overland Park (KS); Hybrid; USD 60,000 - 84,000; Full time

Benefits offered by this job

Medical, dental, vision, and life

401(k) with company match

Tuition reimbursement

Casual dress code

Generous PTO and holidays

Volunteer time

Job summary

Empower Retirement, LLC is seeking a Brokerage Operations Quality Specialist to ensure seamless back-office functions for brokerage services. You will manage daily approvals, escalations, and post-transaction QA, while handling research, reconciliations, and reprocessing tasks.

The role requires 1+ year in brokerage operations, FINRA 7 registrations, and a commitment to upholding quality standards in a fast-paced environment. Remote/hybrid options supported; strong attention to detail essential.

Qualifications

• 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 approval 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
• 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

Microsoft Office

Education

Bachelor's degree or equivalent

Tools

NetX 360/Pershing

Job description

Empower Retirement, LLC is seeking a Brokerage Operations Quality Specialist to ensure seamless back-office functions for brokerage services. You will manage daily approvals, escalations, and post-transaction QA, while handling research, reconciliations, and reprocessing tasks.

The role requires 1+ year in brokerage operations, FINRA 7 registrations, and a commitment to upholding quality standards in a fast-paced environment. Remote/hybrid options supported; strong attention to detail essential.