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.

What You Will Do

• 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

What You Will Bring

• 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

What Will Set You Apart

• 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

#LI-Remote

#PJPW

***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.***

What we offer you

We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.

• 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. BRGs are open to all.

Base Salary Range

The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. 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 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.

Equal opportunity employer •  Drug-free workplace

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 (40 and over), 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. 

***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.***

Job Posting End Date at 12:01 am on:

Want the latest money news and views shaping how we live, work and play? Stay in the know with The Currency  and sign up for Empower’s free newsletter.