Description

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them.

Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.

This role will perform trade related activities for the Empower Personal Wealth (EPW) trading platforms. This includes reviews and approvals of daily trade activity, reconciliations and support trade issue research and corrections. Serve as Registered Options Principal (ROP) to review and approve new options accounts and options trades. Partner with other teams (Operations, Supervision, Compliance, etc.) on projects related to trade environment, processes and systems to improve efficiencies and to manage risks.

What you will do

• Review, process, and release brokerage trades across EPW platforms, including equities, options, mutual funds, ETFs, fixed income, municipals, and stock plan-related transactions.
• Support trade execution activities including block trades, corporate action-related trades, option exercises, and stock plan events.
• Perform trade issue research, error correction, and reconciliation activities, determining appropriate remediation and expense allocation to the firm.
• Mutual Fund Share Class Reviews (Breakpoints, LOI, ROA)
• Review and approval of Options Trading requests
• Registered Options Principal for Approval of New Options Accounts and Agreements
• Review of Items for Attention Notifications
• Assist with recurring audits, reporting and projects on a monthly/quarterly basis.
• Provide guidance and training support to brokerage services.
• Identify recurring issues or trends and communicate findings to leadership with recommended process improvements.

What you will bring

• Bachelor's degree required, preferably in business, finance, or a related discipline, or equivalent relevant experience.
• FINRA fingerprinting required.
• FINRA Series 7 required.
• FINRA Fingerprinting and S7, S24 and either the S4 or S52/53 required within department -established timelines.
• 2+ years of experience in brokerage operations, trade desk support, or financial services back-office roles.
• Working knowledge of equity, options, mutual funds, ETF, and fixed income products.
• Experience with Stock Plan Services strongly preferred.
• Experience with Pershing NetX360 or comparable brokerage platforms preferred.
• Proficiency with Microsoft Office applications, including Excel, Word, and SharePoint.
• Strong attention to detail with the ability to manage multiple priorities in a fast-paced environment.
• Excellent written and verbal communication skills.
• Ability to work independently while collaborating effectively across teams.
• Experience handling escalated situations and exercising sound judgment in regulated environments.
• Must be fluent in English
• Must be available to work overnight hours

We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age, race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.