Stock Plan Services Trade Desk Associate

Job not on LinkedIn

🔥 1 minute ago

🇺🇸 United States – Remote

💵 $55.3k - $76.1k / year

⏰ Full Time

🟢 Junior

🟡 Mid-level

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

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Empower

WebsiteLinkedInAll Job Openings

10,000+ employees

💸 Finance

💳 Fintech

👥 B2C

Finance • Fintech • B2C

Empower is a leading provider of financial services focused on helping individuals and organizations achieve financial freedom through retirement planning and investment management. Serving over 19 million Americans, Empower offers a comprehensive suite of finance-related services, including smart planning and investment advice, and tools like the Empower Personal Dashboard™ for a complete financial view. The company is renowned as a top retirement plan provider and works closely with personal investors, workplace plan savers, plan sponsors, and financial professionals. Empower is also recognized for initiatives in Diversity, Equity, Inclusion, and has a social commitment that bolsters community impact.

📋 Description

• Review, process, and release brokerage trades, primarily for stock plan services, including RSU vesting, Rule 10b5-1 trading instructions, ESPP events, stock option exercises, and individual or block equity trades • Execute and monitor Not Held orders; coordinate with clearing firms • Reconcile trade executions, allocations, and transaction activity across brokerage trading platforms • Research and resolve trade errors, corrections, exceptions, and client accommodations • Determine corrective actions and associated firm expenses according to established procedures • Review and manage daily stock plan margin notices, Service Center Requests, voluntary corporate action requests, and other time-sensitive brokerage operations • Support additional brokerage products, including equities, fixed income, options, ETFs, and mutual funds • Guide registered representatives on stock plan trading requirements and block trade submissions • Partner with Supervision, Compliance, Operations, and management on escalations, client complaints, internal reviews, audits, regulatory inquiries, and documentation requests • Identify operational risks and process improvement opportunities • Monitor outstanding trade-related requests and prioritize daily activities • Support brokerage service team training • Communicate recurring trade errors, operational exceptions, and service trends to management

🎯 Requirements

• 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 • Strong analytical, organizational, communication, and problem-solving skills • Ability to independently manage competing priorities, resolve escalated issues, and collaborate across teams in a fast-paced trading environment • Applicants must be authorized to work for any employer in the U.S.; employment visa sponsorship is unavailable, including CPT/OPT • Reliable high-speed internet with a wired connection and a suitable home workspace required for remote work • What Will Set You Apart: Bachelor's degree in Finance, Business, Economics, or a related discipline • What Will Set You Apart: Experience supporting stock plan services back-office trading operations, including RSU vesting, ESPP transactions, stock option exercises, and Rule 10b5-1 trading instructions • What Will Set You Apart: Experience with Pershing NetX360 or comparable brokerage trading and clearing platforms • What Will Set You Apart: Direct trading experience with fixed income securities, municipal bonds, options, ETFs, or mutual funds • What Will Set You Apart: Experience researching complex trade corrections, reconciling transactions across multiple trading platforms, and supporting brokerage supervision or compliance inquiries • What Will Set You Apart: Experience providing technical guidance or training to registered representatives and brokerage service teams

🏖️ 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) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play • Bonus program opportunity for non-sales positions • Necessary computer equipment provided • Flexible work environment • Fluid career paths and internal mobility opportunities

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