Self-Directed Brokerage Operations Specialist

Empower Retirement; United States; On-site; USD 90,000 - 130,000; Full time

Job summary

Empower Retirement is seeking a Brokerage Product Operations Consultant to serve as a subject matter expert and registered principal for self-directed brokerage products and operations. You will oversee brokerage processing, perform supervisory reviews, and work across Legal, Compliance, Operations, and Sales to mitigate risks.

The role requires FINRA registrations (Series 7/24/63) and a degree in Business or Finance, with 3+ years in financial services brokerage operations.

Qualifications

• Bachelor’s degree or equivalent experience in business/finance.
• 3+ years in financial services with brokerage operations or processing.
• FINRA Series 7, 24, and 63 registrations required; fingerprinting.
• Ability to translate complex brokerage/regulatory requirements for diverse audiences.

Responsibilities

• Serve as SME and registered principal for self-directed brokerage and operations.
• Perform supervisory reviews and oversee SDB processing (account opening/maintenance).
• Investigate complex or escalated issues to ensure timely resolution.
• Conduct suitability and transaction reviews per regulatory standards.
• Identify and mitigate regulatory, financial, and operational risks.
• Collaborate with Legal, Compliance, Operations, Sales, and Technology teams.
• Coordinate with external brokers, providers, and vendors on transactions and enhancements.
• Support regulatory, product, and technology initiatives with requirements and testing.
• Provide guidance and training on brokerage operations to internal partners.
• Support client discussions involving self-directed brokerage expertise.

Skills

Self-directed brokerage knowledge

Regulatory compliance

Supervisory/oversight

Issue investigation & resolution

Cross-functional collaboration

Communication skills

Analytical troubleshooting

Education

Bachelor's degree in Business/Finance

Tools

Microsoft Office

Job description

Empower Retirement is seeking a Brokerage Product Operations Consultant to serve as a subject matter expert and registered principal for self-directed brokerage products and operations. You will oversee brokerage processing, perform supervisory reviews, and work across Legal, Compliance, Operations, and Sales to mitigate risks.

The role requires FINRA registrations (Series 7/24/63) and a degree in Business or Finance, with 3+ years in financial services brokerage operations.