FINRA Series 7 Trade Desk Associate

Job Summary

Supporting Empower Personal Wealth, the full-time remote FINRA Series 7 Trade Desk Associate will manage back-office brokerage operations, execute trades related to stock plan services, and resolve trade-related issues while collaborating with internal teams to enhance trading processes.

Key responsibilities

• Review, process, and release brokerage trades, focusing on stock plan services and equity compensation transactions
• Execute and monitor Not Held orders, coordinating with clearing firms and reconciling trade executions across platforms
• Research and resolve trade errors, exceptions, and client accommodations, ensuring compliance with established procedures

Required qualifications

• Bachelor's degree required
• Minimum of two years of experience in financial services required
• Active FINRA Series 7 registration required
• Direct experience with stock plan services and brokerage operations, including trade processing and reconciliation
• Working knowledge of Microsoft Office applications, particularly Excel, for operational reporting and documentation