Sr Spec Brokerage Ops & Stock Plan Services

The incumbent performs FINRA-licensed back‑office functions for the Empower Personal Wealth (EPW) products. This role supports the accurate processing, review, and resolution of brokerage transactions and account activity while ensuring compliance with regulatory requirements, internal controls, and service standards. The individual in this role is responsible for handling daily operational workflows and partnering with internal stakeholders to mitigate risk and deliver consistent, high-quality client experience.

What you will do

• Principal Approve new account applications.
• Process account updates, asset movement requests, and other brokerage operational transactions.
• Perform daily reviews of outstanding customer requests to ensure timely processing and adherence to service standards.
• Draft and distribute customer and internal correspondence related to brokerage processing activities, as needed.
• Work closely with mana...