Senior Manager, Brokerage Operations & Stock Plan Services

Empower Enterprise Philippines, Inc.; Manila; Hybrid; PHP 1,500,000 - 2,600,000; Full time

Job summary

Empower Enterprise Philippines, Inc. is seeking a Sr Manager to lead a team of operations associates handling stock plan services and brokerage account processing.

You will drive operational excellence, regulatory compliance, and risk management while partnering with Trade Desk, Compliance, Legal, Technology, and other stakeholders to support business objectives. You will hire, coach, and develop a high-performing team, monitor performance metrics, and drive process improvements to scale service

Qualifications

• Bachelor's Degree in Business, Finance, Accounting (or equivalent)
• FINRA Series 7 and Series 24 licenses required within timelines
• FINRA Fingerprinting required
• Minimum of 7 years of financial services experience
• Experience with stock plan services preferred
• Experience leading brokerage operations or related teams
• Knowledge of stock plan administration, participant servicing, equity award processing, and stock plan transaction workflows
• Knowledge of brokerage trade lifecycle processes, reconciliations, trade corrections, and operational controls
• Understanding of SEC, FINRA, IRS, and other regulations
• Experience managing operational risk, audits, and control environments
• Strong process improvement, automation, and scaling experience
• Proven track record of developing high-performing teams
• Excellent communication and analytical skills

Responsibilities

• Lead a team of associates responsible for stock plan services and equity compensation programs
• Lead FINRA-registered Principals for new retail brokerage account reviews and CIP compliance
• Oversee brokerage account processing including contributions, withdrawals, and maintenance
• Manage Retail Brokerage Trade Desk operations with real-time review and approvals
• Oversee RSUs, stock options, ESPPs, and related stock plans activities
• Ensure readiness for high-volume stock plan events like vesting and exercises
• Maintain reconciliation, exception management, and risk controls
• Collaborate with Trade Desk, Compliance, Legal, Technology to meet regulatory requirements
• Serve as escalation point for complex brokerage issues
• Drive process improvements and automation for efficiency and scale
• Monitor metrics and service levels to hit department goals
• Hire, coach, and develop a high-performing team
• Other duties as assigned

Skills

Leadership

Regulatory compliance

Process improvement

Analytical thinking

Communication

Education

Bachelor's Degree in Business/Finance/Accounting

FINRA Series 7 license

FINRA Series 24 license

FINRA Fingerprinting

Job description

Empower Enterprise Philippines, Inc. is seeking a Sr Manager to lead a team of operations associates handling stock plan services and brokerage account processing.

You will drive operational excellence, regulatory compliance, and risk management while partnering with Trade Desk, Compliance, Legal, Technology, and other stakeholders to support business objectives. You will hire, coach, and develop a high-performing team, monitor performance metrics, and drive process improvements to scale service