Brokerage Processing Specialist
About the role
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.
Responsibilities
- 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
Requirements
- 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
- Applicants must be authorized to work for