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About the role
Key responsibilities & impact- Perform trade-related supervisory principal activities for Empower Personal Wealth trading platforms
- Review and approve daily trade activity, trade blotters, option account applications and options trades
- Research and correct trade issues, errors, accommodations and reconciliations
- Allocate trade-error expenses to the firm as appropriate
- Assist with commission adjustments, exception trade approvals, mutual fund share-class reviews and best-execution reviews
- Generate, monitor and respond to surveillance reporting and examinations
- Serve as a Registered Options Principal for approval of new options accounts and agreements
- Collaborate with Compliance on inquiries and documentation requests
- Partner with Brokerage Services to provide team-member training
- Support audits, exams, projects, process improvements, risk management and general supervisory coverage
Requirements
What you’ll need- Bachelor’s Degree required, preferably in a relevant discipline, or five years’ experience in financial services, preferably in a trading function
- FINRA fingerprinting required
- FINRA Series 7 and 24 required
- 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
- Knowledge of Pershing trading platform NetX360
- General knowledge of MS Office applications including Excel, Word, and SharePoint
- Authorized to work for any employer in the U.S.; employment visa sponsorship unavailable
- Reliable high-speed internet with a wired connection and a suitable home workspace
Benefits
Comp & perks- Medical, dental, vision and life insurance
- Retirement savings 401(k) plan with company matching contributions up to 6%
- Financial advisory services
- Potential company discretionary retirement contribution
- Broad investment lineup
- Tuition reimbursement up to $5,250/year
- Business-casual environment with option to wear jeans
- Generous paid time off upon hire
- Ten paid company holidays and three floating holidays each calendar year
- Paid volunteer time — 16 hours per calendar year
- Paid parental leave
- Paid short- and long-term disability
- Family and Medical Leave (FMLA)
- Business Resource Groups (BRGs)
- Flexible work environment
- Remote work arrangement
- Necessary computer equipment provided