Trade Desk Associate

This is a fully remote position, open to applicants in United States.

📋 Description

• Oversee trade-related supervisory activities for the Empower Personal Wealth trading platforms.

• Evaluate and authorize daily trading activities, trade blotters, option account applications, and options trades.

• Investigate and resolve trade-related issues, errors, accommodations, and reconciliations.

• Appropriately allocate trade-error expenses to the firm.

• Assist with commission adjustments, exception trade approvals, mutual fund share-class assessments, and best-execution reviews.

• Create, monitor, and address surveillance reports and examinations.

• Act as a Registered Options Principal to approve new options accounts and agreements.

• Collaborate with Compliance on inquiries and documentation requests.

• Work alongside Brokerage Services to deliver training for team members.

• Support audits, examinations, projects, process enhancements, risk management, and overall supervisory coverage.

⛳️ Requirements

• A Bachelor’s Degree is required, ideally in a relevant field, or five years of experience in financial services, particularly in a trading role.

• FINRA fingerprinting is required.

• FINRA Series 7 and 24 certifications are mandatory.

• FINRA Series 4, 52, and 53 are preferred or must be obtained within the timeframe established by the department.

• Practical supervisory experience in both equity trading and brokerage operations is essential.

• Familiarity with and experience in the options trading market.

• Knowledge of fixed income and municipal products and markets.

• Proficient in the Pershing trading platform NetX360.

• General proficiency in MS Office applications, including Excel, Word, and SharePoint.

• Must be authorized to work for any employer in the U.S.; employment visa sponsorship is not available.

• Reliable high-speed internet with a wired connection and a suitable home workspace is required.

🏝️ Benefits

• Medical, dental, vision, and life insurance.

• 401(k) retirement savings plan with company matching contributions up to 6%.

• Financial advisory services.

• Potential discretionary retirement contributions from the company.

• Extensive investment options.

• Tuition reimbursement up to $5,250 per year.

• Business-casual work environment with the option to wear jeans.

• Generous paid time off upon hire.

• Ten paid company holidays and three floating holidays each calendar year.

• Paid volunteer time — 16 hours per calendar year.

• Paid parental leave.

• Paid short- and long-term disability.

• Family and Medical Leave (FMLA).

• Business Resource Groups (BRGs).

• Flexible work environment.

• Remote work arrangements.

• Necessary computer equipment will be provided.