Sr Mgr Brokerage and Specialized Operations

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.