Brokerage Product Operations Analyst

Job not on LinkedIn

🔥 24 minutes ago

🇺🇸 United States – Remote

💵 $65.6k - $92.7k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

⚡️ Product 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

• Serve as a subject matter expert and registered principal for self-directed brokerage products, brokerage operations, and applicable registered activities • Perform supervisory reviews and principal-level oversight according to regulatory requirements and company policies • Perform and oversee brokerage processing, including new account review and acceptance, account opening, account maintenance, contributions, asset transfers, and customer requests • Monitor brokerage applications, transactions, and service requests • Investigate and resolve complex or escalated issues • Conduct suitability and transaction reviews, identify exceptions, and escalate or resolve issues • Identify, assess, and mitigate regulatory, financial, operational, and client risks • Collaborate with Legal, Compliance, Operations, Service, Sales, Systems, Financial Control, Product, Relationship Management, and other business areas • Coordinate with external brokerage firms, investment providers, and vendors • Support regulatory, product, process, and technology initiatives, including requirements development, system testing, implementation, audits, reporting, and operational controls • Evaluate and improve brokerage procedures, processes, and controls • Provide brokerage product, operational, supervisory, and regulatory guidance and training • Support client and prospective client discussions requiring self-directed brokerage expertise • Support related brokerage and investment products as business needs require • Perform other duties as assigned

🎯 Requirements

• Bachelor's degree in Business, Finance, or a related field, or equivalent related experience • Three or more years of financial services experience, including demonstrated experience with brokerage products, brokerage operations, or transaction processing • Demonstrated knowledge of self-directed brokerage products, account operations, transaction processing, and applicable securities regulatory requirements • FINRA Series 7, Series 24, and Series 63 registrations required • FINRA Fingerprinting required • Ability to investigate, analyze, and resolve complex brokerage, operational, regulatory, and client issues • Ability to identify operational and regulatory risks, evaluate controls, and implement corrective actions • Strong written and verbal communication skills • Strong attention to detail and ability to complete work accurately within established processing and service timelines • Proficiency with Microsoft Office applications • Ability to learn systems required to support self-directed brokerage products and brokerage operations • Ability to exercise independent judgment within established policies, procedures, supervisory requirements, and regulatory standards • Applicants must be authorized to work for any employer in the U.S.; no employment visa sponsorship available • Reliable high-speed internet with a wired connection and a suitable home workspace for remote work

🏖️ 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 with 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) • Bonus program opportunity for non-sales positions • Other necessary computer equipment provided • Flexible work environment • Reliable high-speed internet and home workspace required for remote work