Brokerage Operations 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.

This role supports Empower Personal Wealth’s Operations group and Brokerage Operations team. The Brokerage Operations Specialist contributes to the organization’s success by processing brokerage operational transactions and performing administrative functions. Under general supervision, this role reviews and accepts new account applications, coordinates new business processes across internal departments, processes account updates, and supports asset movement activities.

What You Will Do

• Review new account applications, complete new account setup, process contributions, and perform suitability reviews for the Brokerage line of business, as applicable.

• Conduct daily reviews of outstanding applications and customer requests to support timely and accurate processing and a positive customer experience.

• Provide ongoing status updates to internal and external clients regarding applications, requests, and other processing activities.

• Support recurring audits, reporting activities, and operational projects on a monthly and quarterly basis.

• Draft customer correspondence related to brokerage processing activities.

• Coordinate procedure updates with management to improve operational efficiency, accuracy, and completeness.

• Support all aspects of Self-Directed Brokerage processing, as needed.

• Collaborate with Service, Sales, internal business partners, and external vendors to complete daily operational deliverables and manage escalated situations.

What You Will Bring

• Bachelor’s degree in business or equivalent experience

• 1–2 years of experience in financial services

• Series 7, Series 24, and Series 63 FINRA registrations required

• FINRA fingerprinting required

• Advanced Microsoft Excel skills

• Strong written and verbal communication skills, organizational skills, and attention to detail

• Ability to manage multiple priorities and complete work within established timelines in a fast-paced environment

• Ability to collaborate effectively with teammates, management, internal business partners, and external vendors

• Experience managing escalated situations

• Ability to work independently on operational tasks

What Will Set You Apart

• Experience supporting brokerage operations, including new account processing, account maintenance, asset movement, or Self-Directed Brokerage activities.

***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

$55,300.00 - $76,075.00

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:

08-25-2026

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