Sr Mgr Brokerage and Specialized Operations

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

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 Sr Manager leads a team of operational associates responsible for brokerage operations, including stock plan services, new account principal review, brokerage account processing, and Brokerage Trade Desk operations. The role is accountable for the day-to-day execution of these functions, ensuring operational excellence, regulatory compliance, effective risk management, and a high-quality experience for brokerage customers, stock plan participants, and plan sponsors. The Sr Manager executes operational strategy by developing associates, optimizing processes, monitoring performance, and partnering with Trade Desk, Brokerage Operations, Compliance, Legal, Technology, and other business stakeholders to support business objectives and continuous improvement initiatives.

What you will do

• Lead a team of associates responsible for operational support of stock plan services and equity compensation programs.
• Lead a team of FINRA-registered Principals responsible for the review and approval of new retail brokerage accounts, including identity verification, Customer Identification Program (CIP) requirements, and compliance with applicable regulatory and firm policies.
• Lead a team of associates responsible for brokerage account transaction processing, including contributions, withdrawals, and account maintenance.
• Lead associates responsible for retail Brokerage Trade Desk operations, including real-time review, approval, rejection, and supervisory oversight of customer trade orders.
• Oversee operational processing associated with RSUs, stock options, ESPPs, performance-based awards, participant share transactions, and related stock plan activities.
• Support operational readiness and execution for high-volume stock plan events, including vesting cycles, ESPP purchase periods, option exercise activity, share releases, and corporate action events.
• Ensure effective reconciliation, exception management, trade correction, and issue resolution processes are maintained to mitigate operational and financial risk.
• Partner with Trade Desk, Brokerage Supervision, Compliance, Legal, and Technology teams to ensure operational processes meet business, regulatory, and risk management requirements.
• Serve as an escalation point for complex brokerage customer, stock plan participant, plan sponsor, and operational issues.
• Drive process improvement, automation, and workflow optimization initiatives to improve efficiency, scalability, and service quality.
• Monitor operational metrics, service levels, risk indicators, and quality measures to ensure departmental objectives are achieved.
• Hire, coach, develop, and lead employees while fostering a culture of accountability, collaboration, and continuous improvement.
• Other duties as assigned.

What you will bring

• Bachelor's Degree in Business, Finance, Accounting, or in lieu of a degree, four additional years of financial services or operations experience.
• FINRA Series 7 and Series 24 licenses required within established timelines.
• FINRA Fingerprinting required.
• Minimum of 7 years of financial services experience.
• Experience with stock plan services preferred.
• Experience leading brokerage operations, or related financial services 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 applicable regulations impacting stock plan services and brokerage operations.
• Experience managing operational risk, audit activities, compliance reviews, and control environments.
• Strong process improvement, workflow automation, and operational scaling experience.
• Demonstrated success leading and developing high-performing operational teams.
• Excellent communication, organizational, analytical, and problem-solving skills.

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.

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Remote and Hybrid Positions

For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment will be provided. You may be required to work in the office if you do not have an adequate homework environment and the required internet connection.

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