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.

As a Trade Desk Associate, you will perform trade related supervisory principal activities for the Empower Personal Wealth (EPW) trading platforms. This includes reviews and approvals of daily trade activity, trade blotters, reconciliations, and support for trade issue research and corrections. Serving as a Registered Options Principal (ROP), you will review and approve new options accounts and options trades. You will partner with other teams (Operations, Supervision, Compliance, etc.)

on projects related to trade environment, processes, and systems to improve efficiencies and manage risks. Additionally, you will support audits and exams as applicable and provide coverage as needed for general supervisory oversight tasks.

• Conduct principal review and supervisory aspects of trading activity within the EPW trading platforms, including support of blotter reviews, review and approvals of option account applications and trades, and trade corrections and reconciliations
• Determine proper courses of action to correct trade errors and accommodations, taking into account and allocating expenses to the firm (trade activity may be in general equities, fixed income, options, EFTs, mutual funds, municipals, and CDs)
• Assist with commission adjustments, exception trade approvals, mutual fund share class reviews (breakpoints, LOI, ROA), best execution review, and review of items for attention notifications
• Generate, monitor, and respond to surveillance reporting and examinations, as well as act as a ROP for approval of new options accounts and agreements
• Collaborate with internal departments such as Compliance (fulfilling inquiries and requests for documentation/information) and Brokerage Services (providing training to team members)

• Bachelor’s Degree required, preferably in a relevant discipline or five years’ experience in financial services, preferably in a trading function
• FINRA fingerprinting required
• Requires FINRA Series 7 and 24
• FINRA Series 4, 52
  * and 53 preferred, or to be obtained within department established timeframe

• Hands-on and supervisory experience with both equity trading and brokerage operations
• Understanding of and experience with the options trading market
• Understanding of fixed income and municipal products and markets
• Trading experience a plus
• Knowledge of Pershing trading platform
• NetX
  360
• General knowledge of MS Office applications including Excel, Word, and Share Point

• 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…