Brokerage Operations Quality Specialist at Empower

About Empower and Our Vision

Our vision for the future is built on the belief that transforming financial lives begins by giving our people the freedom to transform their own. We maintain a flexible work environment and offer fluid career paths. We actively encourage and celebrate internal mobility. We recognize the importance of purpose, well-being, and work-life balance. At Empower and within our communities, we work hard to cultivate a welcoming and inclusive environment, and our associates dedicate significant hours to volunteering for causes they care about most. Chart your own professional course and advance your career while helping more customers achieve financial freedom. Empower Yourself.

Brokerage Operations Quality Specialist Role

As a Brokerage Operations Quality Specialist, you will be instrumental in ensuring the smooth functioning of our brokerage and Self-Direct Brokerage services in the back office. Your responsibilities include managing daily approvals and escalations, ensuring department quality and adherence to time standards, performing post-transaction quality assurance, research, reconciliations, and reprocessing functions. Join us in providing exceptional service, managing diverse client requests, and becoming a vital member of our dynamic team driving the future of financial empowerment.

What You Will Do

• Provide accurate quality results and enforce quality control standards for Brokerage processing.
• Review and approve new account enrollments, maintenance tasks, ACH setups, distributions, and incoming account transfers.
• Approve pending transactions as part of the quality review process.
• Identify processing trends and communicate these insights to management, suggesting recommended changes.
• Manage escalated and complex service issues.
• Train and mentor brokerage representatives.
• Serve as a Subject Matter Expert for Self-Directed Brokerage plan conversions and maintenance, handling setup, transactions, and research.
• Support the business in responding to requests from FINRA, SEC, and Internal Audit.
• Focus on mitigating risk to the brokerage business through trading and security review, identifying gaps in current processes, and spotting red flag, AML, or fraudulent account activity.

What You Will Bring

• A Bachelor's degree or an equivalent combination of education and professional work experience.
• At least 1 year of experience in brokerage services or operations.
• FINRA 7 registrations are required.
• FINRA fingerprinting is required.

What Sets You Apart

• Experience with NetX 360/Pershing is a plus.
• Basic Microsoft Office knowledge alongside proven knowledge of brokerage operations and the industry.
• Excellent communication and organizational skills, coupled with strong attention to detail.
• The ability to multitask and prioritize workload in a fast paced setting to meet established deadlines.
• The capacity to collaborate effectively with Service, Sales, internal business partners, and External Vendors.

Compensation and Benefits

Base Salary Range: $59,700.00 - $84,300.00. This range reflects the typical minimum to maximum base salary for this position in the listed location. Non-sales roles have the potential to participate in a bonus program. Sales roles are eligible for sales incentives and, in some cases, a bonus plan, meaning total compensation can exceed the base salary based on individual performance. Actual compensation offered may vary based on geographic location, work experience, education, licensure requirements, and/or skill level, and will be finalized upon offer.

We offer an array of diverse and inclusive benefits regardless of your career stage. We believe that enabling employees to lead healthy, balanced lives leads to peak work performance. Benefits include:

• Medical, dental, vision, and life insurance.
• Retirement savings through a 401(k) plan, featuring generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contributions, and a wide investment lineup.
• Tuition reimbursement up to $5,250 per year.
• A business casual environment that allows the option to wear jeans.
• Generous paid time off upon hiring, including a paid time off program plus ten paid company holidays and three floating holidays annually.
• 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) which foster inclusion and collaboration both internally and in the communities we serve. BRGs are open to all.

Work Environment Note: For remote and hybrid positions, candidates must provide reliable high speed internet with a wired connection and a dedicated workspace in their home with minimal disruption. You must have reliable connectivity from an internet service provider offering fiber, cable, or DSL. Necessary computer equipment will be provided. You may be required to work in the office if you lack an adequate home workspace or required internet connection.

Equal Opportunity Employer

We are an equal opportunity employer committed to diversity. All individuals, irrespective 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.