Brokerage Processing 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 Specialist, your expertise will be key to ensuring the seamless back-office functions of our brokerage and Self-Directed brokerage services by reviewing and accepting new applications, processing account updates, and processing asset movement tasks. 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.

• Review new applications, complete setup of new accounts, process contributions received, and perform suitability review of new accounts as needed for the Brokerage line of business
• Perform daily reviews of outstanding applications and customer requests to ensure timely processing and positive customer experience
• Provide ongoing updates to internal and external clients regarding the status of items
• Draft correspondence with customers as needed during Brokerage processing
• Assist with recurring audits, reporting, and projects on a monthly/quarterly basis

• Bachelor’s degree or an equivalent combination of education and professional work experience
• 1+ years of experience in brokerage services/operations in the financial services industry
• FINRA 7, 24, and 63 registrations required
• FINRA fingerprinting required

• NetX 360/Pershing experience a plus
• Basic Microsoft Office 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 and work with all levels of management and teammates to accomplish daily deliverables with experience in managing escalated situations

*** 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.***

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.

$55,300.00 - $76,075.00

The salary range above shows the typical…