Brokerage Product Operations Analyst

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Posted Oct 27, 2026

Remote · US Full Time

$65.6K – $92.7K/yr

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Overview

The Brokerage Product Operations Consultant serves as a subject matter expert and registered principal supporting self-directed brokerage (SDB) products and operations. This role performs and oversees brokerage operational activities, conducts principal-level supervisory reviews, resolves complex and escalated issues, and identifies and mitigates operational, financial, and regulatory risk.

The role partners with internal teams, external brokerage firms, investment providers, and vendors to support SDB products, transactions, operational controls, regulatory compliance, and service delivery. It also leads product, process, and system improvements and supports related brokerage and investment products as business needs require.

Responsibilities

Serve as a subject matter expert and registered principal for self-directed brokerage (SDB) products, brokerage operations, and applicable registered activities
Perform supervisory reviews and principal-level oversight in accordance with applicable regulatory requirements and company policies and procedures
Perform and oversee SDB brokerage processing, including:
- New account review and acceptance
- Account opening and account maintenance
- Contributions
- Asset transfers
- Other customer requests
Monitor outstanding brokerage applications, transactions, and service requests; investigate and resolve complex or escalated issues to ensure accurate and timely completion
Conduct applicable suitability and transaction reviews, identify exceptions, and escalate or resolve issues in accordance with established regulatory and supervisory requirements
Identify, assess, and mitigate regulatory, financial, operational, and client risks associated with SDB products, brokerage transactions, and operational processes
Collaborate with Legal, Compliance, Operations, Service, Sales, Systems, Financial Control, Product, Relationship Management, and other business areas to resolve issues and coordinate brokerage activities
Coordinate with external brokerage firms, investment providers, and vendors regarding transactions, service issues, conversions, product changes, and operational enhancements
Support regulatory, product, process, and technology initiatives, including business requirements development, system testing, implementation, audits, reporting, and ongoing operational controls
Evaluate brokerage procedures, processes, and controls; implement improvements that enhance accuracy, operational efficiency, risk management, and the client and participant experience
Provide brokerage product, operational, supervisory, and regulatory guidance and training to internal business partners
Support client and prospective client discussions requiring self-directed brokerage expertise, as appropriate
Support related brokerage and investment products based on business needs
Perform other duties as assigned

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Requirements

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
Demonstrated ability to investigate, analyze, and resolve complex brokerage, operational, regulatory, and client issues
Demonstrated ability to identify operational and regulatory risks, evaluate controls, and implement corrective actions
Strong written and verbal communication skills, including the ability to communicate complex brokerage and regulatory requirements to varied audiences
Strong attention to detail and ability to complete work accurately within established processing and service timelines
Proficiency with Microsoft Office applications and 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

Preferred Qualifications

Experience supporting self-directed brokerage accounts, investment products, or retirement plan products
Experience performing registered principal supervisory reviews, reviewing brokerage transactions, and resolving supervisory exceptions
Experience supporting brokerage account administration, asset transfers, transaction processing, and complex operational issue resolution
Experience participating in brokerage system enhancements, operational process improvements, system testing, or regulatory change initiatives
Experience collaborating with external brokerage firms, investment providers, and vendors to improve operational processes and service delivery

Compensation & Benefits

Base Salary Range: $65,600.00 - $92,675.00
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
Medical, dental, vision and life insurance
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) open to all

Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from the posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.

Location

Remote/hybrid. For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment, will be provided. You may be required to work in the office if you do not have an adequate home work environment and the required internet connection.

Work Authorization

Applicants must be authorized to work for any employer in the U.S. The employer is unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.