Brokerage Product Operations Analyst

Empower

. Serve as a subject matter expert and registered principal for self-directed brokerage products, brokerage operations, and applicable registered activities .

Posted 10/27/2026full-timeRemote • United StatesMid-LevelSenior💰 $65,600 - $92,675 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in self-directed brokerage products and operations, with a strong focus on regulatory compliance, risk assessment, and transaction processing. Proven ability to investigate and resolve complex issues while providing operational guidance and training.

Highest-signal resume keywords

FINRA Series 7 RegistrationFINRA Series 24 RegistrationFINRA Series 63 RegistrationBrokerage Operations ManagementRegulatory Compliance Expertise

ATS Keywords

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Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Brokerage ProcessingTransaction ProcessingAccount OperationsRisk AssessmentRegulatory Requirements KnowledgeOperational Controls ImplementationSuitability ReviewsComplex Issue ResolutionFinancial Services ExperienceAttention to Detail

Soft Skills

Strong Written CommunicationStrong Verbal CommunicationIndependent JudgmentAnalytical SkillsCollaboration

Tools & Technologies

Microsoft Office ApplicationsBrokerage ApplicationsSystem Testing ToolsOperational Reporting Tools

Certifications & Qualifications

FINRA Fingerprinting

Industry Keywords

Self-Directed Brokerage ProductsBrokerage OperationsFinancial ServicesSecurities Regulatory RequirementsClient Risk Management

About the role

Key responsibilities & impact

Serve as a subject matter expert and registered principal for self-directed brokerage products, brokerage operations, and applicable registered activities
Perform supervisory reviews and principal-level oversight according to regulatory requirements and company policies
Perform and oversee brokerage processing, including new account review and acceptance, account opening, account maintenance, contributions, asset transfers, and customer requests
Monitor brokerage applications, transactions, and service requests
Investigate and resolve complex or escalated issues
Conduct suitability and transaction reviews, identify exceptions, and escalate or resolve issues
Identify, assess, and mitigate regulatory, financial, operational, and client risks
Collaborate with Legal, Compliance, Operations, Service, Sales, Systems, Financial Control, Product, Relationship Management, and other business areas
Coordinate with external brokerage firms, investment providers, and vendors
Support regulatory, product, process, and technology initiatives, including requirements development, system testing, implementation, audits, reporting, and operational controls
Evaluate and improve brokerage procedures, processes, and controls
Provide brokerage product, operational, supervisory, and regulatory guidance and training
Support client and prospective client discussions requiring self-directed brokerage expertise
Support related brokerage and investment products as business needs require
Perform other duties as assigned

Requirements

What you’ll need

Bachelor's degree in Business, Finance, or a related field, or equivalent related experience
Three or more years of financial services experience, including demonstrated experience with brokerage products, brokerage operations, or transaction processing
Demonstrated knowledge of self-directed brokerage products, account operations, transaction processing, and applicable securities regulatory requirements
FINRA Series 7, Series 24, and Series 63 registrations required
FINRA Fingerprinting required
Ability to investigate, analyze, and resolve complex brokerage, operational, regulatory, and client issues
Ability to identify operational and regulatory risks, evaluate controls, and implement corrective actions
Strong written and verbal communication skills
Strong attention to detail and ability to complete work accurately within established processing and service timelines
Proficiency with Microsoft Office applications
Ability to learn systems required to support self-directed brokerage products and brokerage operations
Ability to exercise independent judgment within established policies, procedures, supervisory requirements, and regulatory standards
Applicants must be authorized to work for any employer in the U.S.; no employment visa sponsorship available
Reliable high-speed internet with a wired connection and a suitable home workspace for remote work

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 with 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)
Bonus program opportunity for non-sales positions
Other necessary computer equipment provided
Flexible work environment
Reliable high-speed internet and home workspace required for remote work