Trade Desk Associate

Empower Retirement, LLC; Overland Park (KS); Hybrid; USD 60,000 - 84,000; Full time

Benefits offered by this job

Health insurance

401(k) matching up to 6%

Tuition reimbursement

Job summary

Empower Retirement, LLC, in Overland Park, KS, seeks a Trade Desk Associate to perform supervisory principal activities for EPW trading platforms, including reviews of daily activity, option accounts and trades, and trade corrections. You will serve as a Registered Options Principal (ROP) and partner with Compliance and Brokerage Services on projects to improve processes and manage risk.

You will review and approve new options accounts, support audits, and provide coverage for supervision tasks.

Qualifications

• Bachelor’s degree or five years’ experience in financial services, preferably in a trading function.
• FINRA fingerprinting required.
• FINRA Series 7 and 24 required; Series 4, 52*, and 53 preferred or to be obtained within department timeframe.

Responsibilities

• Conduct principal review and supervisory aspects of trading activity within the EPW trading platforms, including blotter reviews, and approvals of option account applications and trades.
• Assist with trade corrections and reconciliations and allocate expenses to the firm.
• Support commission adjustments, exception trade approvals, and mutual fund reviews; assist with best execution reviews.
• Generate, monitor, and respond to surveillance reporting and examinations; act as ROP for new options accounts.
• Collaborate with Compliance and Brokerage Services on inquiries and training.

Skills

Trading supervision

Equity trading

Brokerage operations

MS Office

Education

Bachelor’s Degree

Financial services experience

Tools

Pershing trading platform

NetX360

MS Office

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.

As a Trade Desk Associate, you will perform trade related supervisory principal activities for the Empower Personal Wealth (EPW) trading platforms. This includes reviews and approvals of daily trade activity, trade blotters, reconciliations, and support for trade issue research and corrections. Serving as a Registered Options Principal (ROP), you will review and approve new options accounts and options trades. You will partner with other teams (Operations, Supervision, Compliance, etc.) on projects related to trade environment, processes, and systems to improve efficiencies and manage risks. Additionally, you will support audits and exams as applicable and provide coverage as needed for general supervisory oversight tasks.

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

What we offer you

• 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

Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.

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.

Job Posting End Date at 12:01 am on: 10-03-2026

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