Lead Brokerage Operations

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 Lead Representative – Brokerage Operations, you will be key to ensuring the seamless back-office functions of our Brokerage and Self-Direct Brokerage services. You will provide guidance to the staff on day-to-day processes, facilitate staff training, and support all aspects of Brokerage account processing. 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

• Provides guidance to the staff on day-to-day processes, escalated items related to Brokerage SDB and Brokerage business, and operates with substantial latitude for un-reviewed action and decision making

• Support all aspects of Brokerage account processing including but not limited to: review of new applications, setup of new accounts, process contributions received, distributions, estate settlements, return mail, ACH set-up, and perform Principal Approval of new accounts for the Brokerage line of business

• Facilitate staff training and knowledge base by regularly offering training sessions for employees regarding recent changes and enhancements to processes and procedures

• Promotes efficiencies within the department by coordinating the review of procedure updates and implementation of changes

• Responds to sensitive and complex inquiries on behalf of the management team in an accurate and timely manner

• Work with management to establish measures of performance for the department, track said performance, and provide input to be used in conducting employee performance reviews.

What you will bring

• Minimum 3-5 years of experience in financial services

• Background in team leadership, developing employees, process improvement, and handling of escalations

• Bachelor's Degree in Business, or equivalent experience

• FINRA Series 7 and 24 registrations 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

***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) - internal networks that rally around common interest, experiences and identities such as race, ethnicity, gender, ability, military status and sexual orientation. BRGs play a vital role in educating and engaging our people and advancing our business priorities.

Base Salary Range

$67,600.00 - $95,425.00

The salary range above shows the typical minimum to maximum