Remote-Eligible Brokerage Quality & Compliance Specialist

Empower; United States; Hybrid; USD 60,000 - 84,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

Life insurance

401(k) with company match

Tuition reimbursement

Paid time off

Volunteer time

Job summary

Empower is seeking a Brokerage Operations Quality Specialist to ensure seamless back-office functions for brokerage services. You will oversee daily approvals, quality assurance, and post-transaction research, working to mitigate risk and resolve complex service issues.

Responsibilities include reviewing enrollments, ACH setups, transfers, and handling escalations, with a focus on timely, accurate processing and compliance with FINRA and SEC requests.

Qualifications

• Bachelor’s degree or equivalent combination of education and professional work experience.
• 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, 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.

Skills

Quality control

Brokerage operations

Attention to detail

Communication skills

Education

Bachelor’s degree or equivalent

Tools

NetX 360/Pershing

Job description

Empower is seeking a Brokerage Operations Quality Specialist to ensure seamless back-office functions for brokerage services. You will oversee daily approvals, quality assurance, and post-transaction research, working to mitigate risk and resolve complex service issues.

Responsibilities include reviewing enrollments, ACH setups, transfers, and handling escalations, with a focus on timely, accurate processing and compliance with FINRA and SEC requests.