Brokerage Operations Specialist

🔥 0 minutes ago

🇺🇸 United States – Remote

💵 $55.3k - $76.1k / 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

• Review new account applications and 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 • Provide status updates to internal and external clients regarding applications, requests, and processing activities • Support recurring audits, reporting activities, and monthly and quarterly operational projects • 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 • Manage escalated situations

🎯 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 • Applicants must be authorized to work for any employer in the U.S.; employment visa sponsorship is unavailable, including CPT/OPT • Reliable high-speed internet with a wired connection and a minimally disrupted home workspace for remote work • Experience supporting brokerage operations, including new account processing, account maintenance, asset movement, or Self-Directed Brokerage activities (preferred)

🏖️ 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) • Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all. • Flexible work environment • Bonus program opportunity for non-sales positions • Reliable high-speed internet and wired connection required for remote work • Necessary computer equipment provided