Brokerage Operations Quality Specialist

Empower

. Provide accurate quality results and administer quality control standards for Brokerage processing .

Posted 10/14/2026full-timeRemote • United StatesJunior💰 $59,700 - $84,300 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in Brokerage Operations, including quality control, account management, and compliance with FINRA and SEC regulations. Proven ability to identify process improvements and mitigate business risks while providing exceptional training and support to team members.

Highest-signal resume keywords

Brokerage Operations ExperienceFINRA 7 RegistrationNetX 360/Pershing ExperienceQuality Control StandardsExcellent Communication Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Quality ControlAccount ManagementTransaction ApprovalProcess ImprovementRisk MitigationAML IdentificationBrokerage ProcessingService Issue ResolutionTraining and MentoringData Analysis

Soft Skills

Attention to DetailOrganizational SkillsMulti-taskingCollaborationProblem-solving

Tools & Technologies

Microsoft OfficeNetX 360Pershing

Certifications & Qualifications

FINRA 7 RegistrationFINRA Fingerprinting

Industry Keywords

Brokerage ServicesSelf-Directed BrokerageFINRASECInternal AuditAccount TransfersACH SetupFraudulent ActivityService IssuesBusiness Risk

About the role

Key responsibilities & impact

Provide accurate quality results and administer quality control standards for Brokerage processing
Review and approve new account enrollments, maintenance, ACH setup, distributions, and incoming account transfers
Approve pending transactions as part of quality review
Identify processing trends and communicate them to management with recommended changes
Handle escalated and complex service issues
Train and mentor brokerage representatives
Act as a Subject Matter Expert for Self-Directed Brokerage plan conversions and maintenance, including setup, transactions, and research
Support responses to FINRA, SEC, and Internal Audit requests
Mitigate brokerage business risk through trading and security review
Identify process and procedure gaps and red flag, AML, and fraudulent account activity

Requirements

What you’ll need

Bachelor’s degree or an equivalent combination of education and professional work experience
1+ years of experience in brokerage services/operations
FINRA 7 registrations required
FINRA fingerprinting required
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
Ability to collaborate with Service, Sales, internal business partners, and External Vendors
Applicants must be authorized to work for any employer in the U.S.
Must have reliable high-speed internet with a wired connection and a suitable home workspace

Benefits

Comp & perks

Medical, dental, vision and life insurance
401(k) plan with generous company matching contributions (up to 6%)
Financial advisory services
Potential company discretionary contribution
Broad investment lineup
Tuition reimbursement up to $5,250/year
Business-casual environment including the option to wear jeans
Generous paid time off upon hire
Ten paid company holidays and three floating holidays each calendar year
Paid volunteer time — 16 hours per calendar year
Paid parental leave
Paid short- and long-term disability
Family and Medical Leave (FMLA)
Business Resource Groups (BRGs)
Reliable high-speed internet and home workspace support for remote and hybrid positions
Necessary computer equipment provided