Remote Brokerage Operations Quality Specialist

Empower LLC; United States; Híbrido; USD 60 000 - 84 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

Medical, dental, vision and life ins.

401(k) plan with generous matching

Tuition reimbursement up to $5,250/yr

Paid time off + 10 holidays + floating

Volunteer time — 16 hours/yr

Resumo da oferta

Empower LLC is seeking a Brokerage Operations Quality Specialist for a remote nationwide role. You will oversee back-office brokerage processing, approvals, and post-transaction quality assurance, working to ensure timely, accurate handling of enrollments, transfers, and maintenance.

You will review complex cases, mentor staff, and support audits and regulatory requests, contributing to a secure, compliant brokerage operation.

Qualificações

• Bachelor's degree or equivalent combination of education and experience.
• 1+ years of brokerage services/operations experience.
• FINRA 7 registrations required.
• FINRA fingerprinting required.

Responsabilidades

• 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, handling setup, transactions, and research.
• 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.

Conhecimentos

Bachelor's degree

Brokerage operations experience

FINRA 7 registrations

FINRA fingerprinting

Formação académica

Bachelor's degree

Ferramentas

NetX 360/Pershing

Microsoft Office

Descrição da oferta de emprego

Empower LLC is seeking a Brokerage Operations Quality Specialist for a remote nationwide role. You will oversee back-office brokerage processing, approvals, and post-transaction quality assurance, working to ensure timely, accurate handling of enrollments, transfers, and maintenance.

You will review complex cases, mentor staff, and support audits and regulatory requests, contributing to a secure, compliant brokerage operation.