Brokerage Operations Specialist

Empower

2d • $55,300 - $76,075 • Hybrid

About The Position

This role supports Empower Personal Wealth’s Operations group and Brokerage Operations team. The Brokerage Operations Specialist contributes to the organization’s success by processing brokerage operational transactions and performing administrative functions. Under general supervision, this role reviews and accepts new account applications, coordinates new business processes across internal departments, processes account updates, and supports asset movement activities.

Requirements

• Bachelor’s degree in business or equivalent experience
• 1–2 years of experience in financial services
• Series 7, Series 24, and Series 63 FINRA registrations required
• FINRA fingerprinting required
• Advanced Microsoft Excel skills
• Strong written and verbal communication skills, organizational skills, and attention to detail
• Ability to manage multiple priorities and complete work within established timelines in a fast-paced environment
• Ability to collaborate effectively with teammates, management, internal business partners, and external vendors
• Experience managing escalated situations
• Ability to work independently on operational tasks

Nice To Haves

• Experience supporting brokerage operations, including new account processing, account maintenance, asset movement, or Self-Directed Brokerage activities.

Responsibilities

• Review new account applications, complete new account setup, process contributions, and perform suitability reviews for the Brokerage line of business, as applicable.
• Conduct daily reviews of outstanding applications and customer requests to support timely and accurate processing and a positive customer experience.
• Provide ongoing status updates to internal and external clients regarding applications, requests, and other processing activities.
• Support recurring audits, reporting activities, and operational projects on a monthly and quarterly basis.
• Draft customer correspondence related to brokerage processing activities.
• Coordinate procedure updates with management to improve operational efficiency, accuracy, and completeness.
• Support all aspects of Self-Directed Brokerage processing, as needed.
• Collaborate with Service, Sales, internal business partners, and external vendors to complete daily operational deliverables and manage escalated situations.

Benefits

• Medical, dental, vision and life insurance
• Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
• Tuition reimbursement up to $5,250/year
• Business-casual environment that includes the option to wear jeans
• Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
• Paid volunteer time — 16 hours per calendar year
• Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level