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.
What you will do
* 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
What you will bring
* 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
What will set you apart
* 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
#LI-Remote
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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.***
What we offer you
We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.
* 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.
Base Salary Range $59,700.00 - $84,300.00
The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.
Equal opportunity employer - Drug-free workplace
We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age (40 and over), race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.
***For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment, will be provided. You may be required to work in the office if you do not have an adequate home work environment and the required internet connection.***
Job Posting End Date at 12:01 am on:
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