Remote Self-Directed Brokerage Ops Specialist

Empower LLC; United States; Teletrabalho; USD 66 000 - 93 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

Medical, dental, vision and life保险

401(k) with generous company matching

Tuition reimbursement

Paid time off

Volunteer time

BRGs and inclusive culture

Resumo da oferta

Empower LLC is seeking a Brokerage Product Operations Analyst to act as a subject matter expert and registered principal for self-directed brokerage (SDB) products. The role oversees brokerage operations, handles complex issues, and ensures regulatory compliance.

You will collaborate with Legal, Compliance, Operations, Sales, and external brokers to implement product enhancements, monitor risk, and improve service delivery in a flexible, remote-friendly environment.

Qualificações

• Three or more years of financial services experience, including brokerage operations.
• Experience with self-directed brokerage products and processing.
• FINRA Series 7, Series 24, and Series 63 registrations required.
• Strong analytical, investigative, and regulatory risk mitigation skills.

Responsabilidades

• Serve as subject matter expert and registered principal for SDB products and operations.
• Perform supervisory reviews and oversee brokerage processing.
• Coordinate with internal teams and external brokers to resolve issues.
• Support regulatory initiatives, testing, and control improvements.

Conhecimentos

Brokerage operations

Self-directed brokerage knowledge

Regulatory compliance knowledge

Analytical problem solving

Formação académica

Bachelor's degree in Business, Finance, or related field

Ferramentas

Microsoft Office

Securities systems

Descrição da oferta de emprego

Empower LLC is seeking a Brokerage Product Operations Analyst to act as a subject matter expert and registered principal for self-directed brokerage (SDB) products. The role oversees brokerage operations, handles complex issues, and ensures regulatory compliance.

You will collaborate with Legal, Compliance, Operations, Sales, and external brokers to implement product enhancements, monitor risk, and improve service delivery in a flexible, remote-friendly environment.