Trade Desk Associate

Empower Retirement; Greenwood Village (CO); Hybrid; USD 60,000 - 84,000; Full time

Benefits offered by this job

Medical, dental, vision insurance

Retirement 401(k) with company match

Tuition reimbursement

Job summary

Empower Retirement is seeking a skilled trading oversight professional to manage principal reviews and approvals across multiple asset classes, including equities, fixed income, and options. You will ensure accuracy, support corrections, and partner with Compliance and Brokerage Services to maintain robust controls.

Ideal candidates bring a strong background in trading operations, FINRA licenses, and hands-on use of Pershing NetX360, with a commitment to accurate surveillance and regulatory

Qualifications

• Bachelor's Degree required, five years in financial services, preferably trading.
• FINRA fingerprinting required for employment.
• Requires FINRA Series 7 and 24.
• Series 4, 52 and 53 preferred or to be obtained within department timeframe.

Responsibilities

• Conduct principal review and supervisory aspects of trading activity within EPW platforms.
• Support blotter reviews, approvals of option accounts and trades, and trade corrections.
• Assist with commission adjustments, exception trade approvals, and fund share class reviews.
• Generate surveillance reporting, examinations, and approve new options accounts.
• Collaborate with Compliance and Brokerage Services for documentation and training.

Skills

Equity trading

Brokerage operations

Options trading

MS Office (Excel, Word, SharePoint)

Trading compliance awareness

Education

Bachelor's Degree

FINRA fingerprinting

FINRA Series 7

FINRA Series 24

FINRA Series 4

FINRA Series 52

FINRA Series 53

Tools

Pershing NetX360

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.

What you will do

• 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)

What you will bring

• 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

What will set you apart

• 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 NetX360
• General knowledge of MS Office applications including Excel, Word, and SharePoint

Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.

What we offer you

We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.

• 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 long-term disability, and Family and Medical Leave (FMLA)
• Business Resource Groups (BRGs) - BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.

Base Salary Range

$59,700.00 - $84,300.00

Equal opportunity employer Drug-free workplace

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 (40 and over), 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.

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 home work environment and the required internet connection.