Brokerage Product Operations Analyst

This is a fully remote position, open to applicants in United States.

📋 Description

• Act as a subject matter expert and registered principal for self-directed brokerage products, brokerage operations, and relevant registered activities.

• Conduct supervisory reviews and principal-level oversight in compliance with regulatory standards and company policies.

• Manage and oversee brokerage processing tasks, including the review and acceptance of new accounts, account openings, account maintenance, contributions, asset transfers, and customer inquiries.

• Monitor brokerage applications, transactions, and service requests.

• Investigate and resolve complex or escalated issues.

• Perform suitability and transaction reviews, identify exceptions, and escalate or resolve issues as necessary.

• 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 units.

• Coordinate with external brokerage firms, investment providers, and vendors.

• Support initiatives related to regulations, products, processes, and technology, which include requirements development, system testing, implementation, audits, reporting, and operational controls.

• Evaluate and enhance brokerage procedures, processes, and controls.

• Provide guidance and training on brokerage products, operations, supervision, and regulatory matters.

• Assist in discussions with clients and prospective clients that require expertise in self-directed brokerage.

• Support associated brokerage and investment products as business needs dictate.

• Perform additional duties as assigned.

⛳️ Requirements

• A bachelor's degree in Business, Finance, or a related field, or equivalent experience.

• A minimum of three years of experience in financial services, specifically with brokerage products, operations, or transaction processing.

• Proven knowledge of self-directed brokerage products, account operations, transaction processing, and relevant securities regulatory requirements.

• Required registrations include FINRA Series 7, Series 24, and Series 63.

• FINRA Fingerprinting is a requirement.

• Capability to investigate, analyze, and resolve complex brokerage, operational, regulatory, and client-related issues.

• Ability to identify operational and regulatory risks, assess controls, and implement corrective measures.

• Excellent written and verbal communication skills.

• Strong attention to detail and the ability to complete tasks accurately within established processing and service timelines.

• Proficiency in Microsoft Office applications.

• Willingness to learn systems necessary for supporting self-directed brokerage products and operations.

• Capability to exercise independent judgment while adhering to established policies, procedures, supervisory requirements, and regulatory standards.

• Applicants must possess authorization to work for any employer in the U.S.; employment visa sponsorship is not available.

• Reliable high-speed internet with a wired connection and a suitable home workspace is required for remote work.

🏝️ Benefits

• Medical, dental, vision, and life insurance.

• 401(k) plan with generous company matching contributions (up to 6%).

• Financial advisory services.

• Potential for company discretionary contributions.

• A broad investment lineup.

• Tuition reimbursement of up to $5,250 per year.

• Business-casual work 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 of 16 hours per calendar year.

• Paid parental leave.

• Paid short- and long-term disability.

• Family and Medical Leave (FMLA).

• Business Resource Groups (BRGs).

• Opportunity for bonus programs for non-sales positions.

• Provision of necessary computer equipment.

• Flexible work environment.

• Reliable high-speed internet and home workspace required for remote work.