Brokerage Operations Quality Specialist

Job not on LinkedIn

🔥 8 minutes ago

🇺🇸 United States – Remote

💵 $59.7k - $84.3k / year

⏰ Full Time

🟢 Junior

⚙️ Operations

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

👻 Ghost score 0%

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Empower

WebsiteLinkedInAll Job Openings

10,000+ employees

💸 Finance

💳 Fintech

👥 B2C

Finance • Fintech • B2C

Empower is a leading provider of financial services focused on helping individuals and organizations achieve financial freedom through retirement planning and investment management. Serving over 19 million Americans, Empower offers a comprehensive suite of finance-related services, including smart planning and investment advice, and tools like the Empower Personal Dashboard™ for a complete financial view. The company is renowned as a top retirement plan provider and works closely with personal investors, workplace plan savers, plan sponsors, and financial professionals. Empower is also recognized for initiatives in Diversity, Equity, Inclusion, and has a social commitment that bolsters community impact.

📋 Description

• Provide accurate quality results and administer quality control standards for Brokerage processing • Review and approve new account enrollments, maintenance, ACH setup, 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, including setup, transactions, and research • Support responses to FINRA, SEC, and Internal Audit requests • Mitigate brokerage business risk through trading and security review • Identify process and procedure gaps and red flag, AML, and fraudulent account activity

🎯 Requirements

• 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 • Applicants must be authorized to work for any employer in the U.S. • Must have reliable high-speed internet with a wired connection and a suitable home workspace

🏖️ Benefits

• Medical, dental, vision and life insurance • 401(k) plan with generous company matching contributions (up to 6%) • Financial advisory services • Potential company discretionary contribution • Broad investment lineup • Tuition reimbursement up to $5,250/year • Business-casual environment including the option to wear jeans • Generous paid time off upon hire • Ten paid company holidays and three floating holidays each calendar year • Paid volunteer time — 16 hours per calendar year • Paid parental leave • Paid short- and long-term disability • Family and Medical Leave (FMLA) • Business Resource Groups (BRGs) • Reliable high-speed internet and home workspace support for remote and hybrid positions • Necessary computer equipment provided