Remote Brokerage Product Operations Analyst

Empower; United States; Remote; USD 66,000 - 93,000; Full time

Benefits offered by this job

Medical, dental, vision and life保险

401(k) with company matching

Tuition reimbursement

Paid time off

Volunteer time

BRGs and inclusive culture

Job summary

Empower 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 the United States. The role involves supervisory oversight, account processing, and regulatory risk management to ensure accurate and timely service delivery.

You will partner with internal teams and external providers to drive improvements, support regulatory initiatives, and guide training across the brokerage

Qualifications

• Bachelor's degree in Business, Finance, or a related field, or equivalent related experience.
• Three or more years of financial services experience, including demonstrated experience with brokerage products, brokerage operations, or transaction processing.
• Demonstrated knowledge of self-directed brokerage products, account operations, transaction processing, and applicable securities regulatory requirements.
• FINRA Series 7, Series 24, and Series 63 registrations required.
• FINRA Fingerprinting required.
• Demonstrated ability to investigate, analyze, and resolve complex brokerage, operational, regulatory, and client issues.
• Demonstrated ability to identify operational and regulatory risks, evaluate controls, and implement corrective actions.
• Strong written and verbal communication skills, including the ability to communicate complex brokerage and regulatory requirements to varied audiences.
• Proficiency with Microsoft Office applications and ability to learn systems required to support self-directed brokerage products and brokerage operations.

Responsibilities

• Serve as a subject matter expert and registered principal for self-directed brokerage (SDB) products, brokerage operations, and applicable registered activities.
• Perform supervisory reviews and principal-level oversight in accordance with applicable regulatory requirements and Company policies and procedures.
• Perform and oversee SDB brokerage processing, including new account review and acceptance, account opening, account maintenance, contributions, asset transfers, and other customer requests.
• Monitor outstanding brokerage applications, transactions, and service requests; investigate and resolve complex or escalated issues to ensure accurate and timely completion.
• Conduct applicable suitability and transaction reviews, identify exceptions, and expedited or resolve issues in accordance with established regulatory and supervisory requirements.
• Identify, assess, and mitigate regulatory, financial, operational, and client risks associated with SDB products, brokerage transactions, and operational processes.
• Collaborate with Legal, Compliance, Operations, Service, Sales, Systems, Financial Control, Product, Relationship Management, and other business areas to resolve issues and coordinate brokerage activities.
• Coordinate with external brokerage firms, investment providers, and vendors regarding transactions, service issues, conversions, product changes, and operational enhancements.
• Support regulatory, product, process, and technology initiatives, including business requirements development, system testing, implementation, audits, reporting, and ongoing operational controls.
• Evaluate brokerage procedures, processes, and controls; implement improvements that enhance accuracy, operational efficiency, risk management, and the client and participant experience.
• Provide brokerage product, operational, supervisory, and regulatory guidance and training to internal business partners.
• Support client and prospective client discussions requiring self-directed brokerage expertise, as appropriate.
• Support related brokerage and investment products based on business needs.
• Perform other duties as assigned

Skills

Brokerage operations knowledge

Regulatory requirements knowledge

Analytical problem solving

Independent judgment

Communication skills

Education

Bachelor's degree in Business/Finance or related field

Tools

Microsoft Office

Job description

Empower 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 the United States. The role involves supervisory oversight, account processing, and regulatory risk management to ensure accurate and timely service delivery.

You will partner with internal teams and external providers to drive improvements, support regulatory initiatives, and guide training across the brokerage