Brokerage Operations Specialist

Empower

Brokerage Operations Specialist processing account applications, updates, contributions, and asset movements for Empower Personal Wealth. Supporting audits, correspondence, vendors, and Self-Directed Brokerage operations.

Posted 8/19/2026full-timeRemote • 🇺🇸 United StatesJunior💰 $55,300 - $76,075 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in brokerage operations, including new account processing and suitability reviews, while effectively managing escalated situations and collaborating with internal and external stakeholders. Proficient in advanced Microsoft Excel and possesses strong communication and organizational skills to support operational efficiency.

Highest-signal resume keywords

Series 7 RegistrationSeries 24 RegistrationSeries 63 RegistrationAdvanced Microsoft Excel SkillsBrokerage Operations Experience

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

New Account ProcessingSuitability ReviewsOperational EfficiencyCustomer CorrespondenceAudit SupportReporting ActivitiesAsset MovementSelf-Directed Brokerage ActivitiesEscalated Situation ManagementMulti-Priority Management

Soft Skills

Strong Written CommunicationStrong Verbal CommunicationOrganizational SkillsAttention to DetailCollaboration Skills

Certifications & Qualifications

FINRA Fingerprinting

Industry Keywords

Financial ServicesBrokerageOperational ProjectsClient Status UpdatesInternal Business PartnersExternal Vendors

About the role

Key responsibilities & impact

Review new account applications and 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
Provide status updates to internal and external clients regarding applications, requests, and processing activities
Support recurring audits, reporting activities, and monthly and quarterly operational projects
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
Manage escalated situations

Requirements

What you’ll need

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
Applicants must be authorized to work for any employer in the U.S.; employment visa sponsorship is unavailable, including CPT/OPT
Reliable high-speed internet with a wired connection and a minimally disrupted home workspace for remote work
Experience supporting brokerage operations, including new account processing, account maintenance, asset movement, or Self-Directed Brokerage activities (preferred)

Benefits

Comp & perks

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.
Flexible work environment
Bonus program opportunity for non-sales positions
Reliable high-speed internet and wired connection required for remote work
Necessary computer equipment provided