Remote Brokerage Operations Specialist

Empower; Greenwood Village (CO); Remote; USD 66,000 - 93,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

Life insurance

401(k) plan

Tuition reimbursement

Paid time off

Volunteer time

Parental leave

Job summary

Empower, a leading financial services firm, is hiring a Brokerage Product Operations Consultant to serve as SME and registered principal for self-directed brokerage products and operations. You will perform supervisory reviews, oversee processing, and coordinate with external brokers to ensure regulatory compliance and efficient service delivery.

You will collaborate with Legal, Compliance, Operations, and other teams, support system enhancements, and contribute to risk mitigation while guiding

Qualifications

• Bachelor's degree in Business, Finance, or related field or equivalent experience.
• Three+ years of financial services experience with brokerage operations or processing.
• Knowledge of self-directed brokerage products and securities regulatory requirements.
• FINRA Series 7, 24, and 63 registrations required; Fingerprinting required.
• Ability to investigate, analyze, and resolve complex brokerage issues.
• Identify regulatory and operational risks and implement corrective actions.

Responsibilities

• Serve as SME and registered principal for SDB products and brokerage operations.
• Perform supervisory reviews and oversight per regulatory requirements.
• Oversee SDB brokerage processing including account openings and maintenance.
• Investigate complex issues to ensure timely completion.
• Conduct suitability and transaction reviews and escalate where needed.
• Collaborate with Legal, Compliance, Operations and other areas to resolve issues.
• Coordinate with external brokers, providers, and vendors on transactions and service issues.
• Support regulatory initiatives including system testing and audits.
• Provide guidance and training to internal partners.
• Support client discussions requiring SDB expertise.

Skills

Self-directed brokerage

Brokerage operations

Regulatory compliance

FINRA registrations

Supervisory reviews

Analytical skills

Communication skills

Education

Bachelor's degree in Business/Finance

Tools

SDB systems

Regulatory tools

Microsoft Office

Job description

Empower, a leading financial services firm, is hiring a Brokerage Product Operations Consultant to serve as SME and registered principal for self-directed brokerage products and operations. You will perform supervisory reviews, oversee processing, and coordinate with external brokers to ensure regulatory compliance and efficient service delivery.

You will collaborate with Legal, Compliance, Operations, and other teams, support system enhancements, and contribute to risk mitigation while guiding