Stock Plan Services Trade Desk Associate

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.

The Trade Desk Support Specialist – Stock Plan Services supports Empower Personal Wealth (EPW) by performing back-office brokerage operations, trade review and execution, reconciliations, and trade-related issue resolution. This role primarily supports stock plan services, including equity compensation transactions, while providing additional trade desk support across other brokerage products and platforms.

The Specialist collaborates with Operations, Supervision, Compliance, and other internal teams to ensure accurate and timely trade processing, resolve exceptions, strengthen operational controls, and identify opportunities to improve trading processes and mitigate risk.

• →Review, process, and release brokerage trades, with a primary focus on stock plan services, including restricted stock unit (RSU) vesting, Rule 10b5-1 trading instructions, employee stock purchase plan (ESPP) events, stock option exercises, and individual or block equity trades
• →Execute and monitor Not Held orders, coordinate with clearing firms, and reconcile trade executions, allocations, and transaction activity across brokerage trading platforms to ensure accuracy and timely resolution
• →Research and resolve trade errors, corrections, exceptions, and client accommodations, including determining appropriate corrective actions and associated firm expenses in accordance with established procedures
• →Review and manage daily stock plan margin notices, Service Center Requests, voluntary corporate action requests, and other time-sensitive brokerage operational activities
• →Provide trade desk support for additional brokerage products, including equities, fixed income, options, exchange-traded funds (ETFs), and mutual funds, while guiding registered representatives on stock plan trading requirements and block trade submissions
• →Partner with Supervision, Compliance, Operations, and management to address escalations, client complaints, internal reviews, audits, regulatory inquiries, and documentation requests while identifying operational risks and process improvement opportunities
• →Monitor outstanding trade-related requests, prioritize daily activities, support brokerage service team training, and communicate recurring trade errors, operational exceptions, and service trends to management

• →Bachelor's degree required
• →Minimum of two years of experience in financial services required
• →Active FINRA Series 7 registration required
• →FINRA Fingerprinting required
• →Direct experience with stock plan services, equity trading, and brokerage operations, including trade processing, reconciliation, and exception resolution
• →Working knowledge of options trading markets, fixed income products, municipal securities, and related brokerage trading processes
• →Working knowledge of Microsoft Office applications, including Excel, Word, and SharePoint, to support operational reporting, documentation, and trade-related activities
• →Strong analytical, organizational, communication, and problem-solving skills, with the ability to independently manage competing priorities, resolve escalated issues, and collaborate across teams in a fast-paced trading environment

• Bachelor's degree in Finance, Business, Economics, or a related discipline
• Experience supporting stock plan services back-office trading operations, including RSU vesting, ESPP transactions, stock option exercises, and Rule 10b5-1 trading instructions
• Experience with Pershing NetX360 or comparable brokerage trading and clearing platforms
• Direct trading experience with fixed income securities, municipal bonds, options, ETFs, or mutual funds
• Experience researching complex trade corrections, reconciling transactions across multiple trading platforms, and supporting brokerage supervision or compliance inquiries
• Experience providing technical guidance or training to registered representatives and brokerage service teams, including identifying recurring operational errors and recommending process improvements

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