Lead Representative - Brokerage Operations

$67,600 - $95,425/Yr

Empower Annuity Insurance Company of America - Greenwood Village, CO

Full-time - Mid Level

Greenwood Village, CO

Funds, Trusts, and Other Financial Vehicles

About the position

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.

Responsibilities

• Provides guidance to the staff on day-to-date 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

Requirements

• 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, 24, and 63 registrations required
• FINRA fingerprinting required

Nice-to-haves

• 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

Benefits

• 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