Spec Brokerage Ops & Stock Plan Services

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 incumbent performs FINRA-licensed back-office functions for the Empower Personal Wealth (EPW) products. The primary focus of the role will be within the Stock Plan Service business of EPW.  This role also supports the accurate processing, review, and resolution of brokerage transactions and account activity while ensuring compliance with regulatory requirements, internal controls, and service standards.  The individual in this role is responsible for handling daily operational workflows, resolving exceptions, and partnering with internal stakeholders to mitigate risk and deliver consistent, high-quality client experience.

• →Initiates DWACs, DRS transfers, Journals, allocates bulk trades, and other Stock Plan processes.
• →Reconciles facilitation account and participant account balances and activities.
• →Support ESPP events, options exercises, RSU vesting, and other stock plan activity. 
• →Review and process account updates, asset movement requests, and other brokerage operational transactions.
• →Perform daily reviews of outstanding customer requests to ensure timely processing and adherence to service standards.
• →Draft and distribute customer and internal correspondence related to brokerage processing activities.
• →Work closely with management and cross-functional partners to resolve exceptions, improve workflows, and mitigate operational risk.
• →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.

• →Bachelor’s degree required, preferably in business, finance, or a related discipline, or equivalent relevant experience.
• →FINRA Series 7 required.
• →FINRA fingerprinting required.
• →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.
• →Fluent English
• →Normal Office Working Conditions: this job operates in a professional office environment and routinely uses standard office equipment.

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.