Remote Brokerage Operations Specialist

Empower Retirement; Greenwood Village (CO); On-site; USD 66,000 - 93,000; Full time

Benefits offered by this job

Health Insurance

401(k) matching

Tuition Reimbursement

Casual Environment

Generous PTO

Volunteer Time

Parental & Disability Leave

BRGs

Job summary

Empower Retirement in Greenwood Village, CO is seeking a Brokerage Product Operations Consultant to act as a subject matter expert and registered principal for self-directed brokerage products and operations.

You will partner with Legal, Compliance, Operations, Sales, Systems, and vendors to support products, regulatory compliance, and service delivery, while leading improvements to processes and controls for risk mitigation.

Qualifications

• Bachelor's degree in Business, Finance, or related field.
• Three+ years financial services experience with brokerage operations.
• FINRA Series 7, Series 24, and Series 63 registrations required.
• FINRA Fingerprinting required.
• Knowledge of self-directed brokerage products and regulatory requirements.
• Excellent written and verbal communication.
• Detail-oriented with strong timelines.
• Ability to learn systems to support brokerage operations.

Responsibilities

• Serve as SME and registered principal for SDB products and operations.
• Perform supervisory reviews and principal-level oversight.
• Oversee SDB processing: new accounts, openings, maintenance, transfers.
• Monitor applications and service requests; resolve complex issues.
• Conduct suitability and transaction reviews and escalate where needed.
• Identify and mitigate regulatory, financial, and client risks.
• Collaborate with Legal, Compliance, Operations, Sales, Systems, and others to resolve issues.
• Coordinate with external brokerage firms and vendors on transactions and changes.
• Support regulatory, product, process, and technology initiatives.
• Evaluate procedures and controls to improve accuracy and client experience.
• Provide guidance and training on brokerage product operations.
• Support client discussions requiring SDB expertise.
• Perform other duties as assigned.

Skills

Brokerage knowledge

Regulatory knowledge

Analytical skills

Communication skills

Microsoft Office

Independent judgement

Attention to detail

Problem solving

Education

Bachelor's degree in Business/Finance

Job description

Empower Retirement in Greenwood Village, CO is seeking a Brokerage Product Operations Consultant to act as a subject matter expert and registered principal for self-directed brokerage products and operations.

You will partner with Legal, Compliance, Operations, Sales, Systems, and vendors to support products, regulatory compliance, and service delivery, while leading improvements to processes and controls for risk mitigation.