The incumbent performs FINRA‑licensed back‑office functions for the Empower Personal Wealth (EPW) products, supporting the accurate processing, review, and resolution of brokerage transactions and account activity while ensuring compliance with regulatory requirements, internal controls, and service standards. The individual handles daily operational workflows and partners with internal stakeholders to mitigate risk and deliver consistent, high‑quality client experience.

What you will do

• Principal Approve new account applications.
• Process account updates, asset movement requests, and other brokerage operational transactions.
• Perform daily reviews of outstanding customer requests to ensure timely processing and adherence to service standards.
• Draft and distribute customer and internal correspondence related to brokerage processing activities, as needed.
• Work closely with management and cross‑functional partners to resolve ex...