Brokerage Operations Quality Specialist

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them.

Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.

As a Brokerage Operations Quality Specialist, you will be key to ensuring the seamless back-office functions of our brokerage and Self-Direct Brokerage services. You will be accountable for daily approvals and escalations, ensuring department quality and time standards are met, as well as post-transaction quality assurance, research, reconciliations, and reprocessing functions. Join us in delivering exceptional service, handling diverse client requests, and becoming a vital part of our dynamic team shaping the future of financial empowerment.

• →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

• →Bachelor’s degree or an equivalent combination of education and professional work experience
• →1+ years of experience in brokerage services/operations
• →FINRA 7 registrations required
• →FINRA fingerprinting required

• NetX 360/Pershing experience a plus.
• Basic Microsoft Office knowledge; proven brokerage operations and industry knowledge.
• Excellent communication and organizational skills with strong attention to detail
• Ability to multi-task and prioritize workload in a high-paced environment to complete tasks within established timelines.
• Ability to collaborate with Service, Sales, internal business partners, and External Vendors

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***Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.***