Brokerage Operations 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 Processing Specialist, your expertise will be key to ensuring the seamless back-office functions of our brokerage and Self-Direct Brokerage services. 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
- Efficiently review and process various client requests, including account enrollments, distributions, transfers, and complex transactions such as estate settlements
- Demonstrate expertise in Self-Directed Brokerage plan conversions and maintenance, managing setup, transactions, and research tasks with precision
- Update and maintain client accounts across multiple platforms to ensure accurate and up-to-date information
- Thoroughly review required legal documentation for completeness before initiating processing
- Collaborate with clearing firm representatives, brokers/traders, colleagues, and other stakeholders, ensuring clear and effective communication to clarify information and address inquiries
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 registration 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
- Collaborate with service, sales, internal business partners, and external vendors
What We Offer You
- 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
$50,300.00 - $69,125.00
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.
Brokerage Operations 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 Processing Specialist, your expertise will be key to ensuring the seamless back-office functions of our brokerage and Self-Direct Brokerage services. 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
- Efficiently review and process various client requests, including account enrollments, distributions, transfers, and complex transactions such as estate settlements
- Demonstrate expertise in Self-Directed Brokerage plan conversions and maintenance, managing setup, transactions, and research tasks with precision
- Update and maintain client accounts across multiple platforms to ensure accurate and up-to-date information
- Thoroughly review required legal documentation for completeness before initiating processing
- Collaborate with clearing firm representatives, brokers/traders, colleagues, and other stakeholders, ensuring clear and effective communication to clarify information and address inquiries
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 registration 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
- Collaborate with service, sales, internal business partners, and external vendors
What We Offer You
- 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
$50,300.00 - $69,125.00
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.
