Stock Plan Operations Specialist (FINRA Back-office) - Brokerage Operations
About this role
About the Role The incumbent performs FINRA-licensed back-office functions for Empower Personal Wealth (EPW) products, with the primary focus on the Stock Plan Service business. 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 is responsible for handling daily operational workflows, resolving exceptions, and partnering with internal stakeholders to mitigate risk and deliver a consistent, high-quality client experience. What You'll Do
- Initiates DWACs, DRS transfers, Journals, allocates bulk trades, and other Stock Plan processes.
- Reconciles facilitation account and participant account balances and activities.
- Supports ESPP events, options exercises, RSU vesting, and other stock plan activity.
Read the full description on TalentApply
Create a free account to see the complete job description, how well your CV matches this role, and apply in one click.
AI rewrites and formats your CV so it reads well and gets past screeners.
Get your match percentage for this exact role before you spend time applying.
Send a polished application in one click — no retyping the same details.
Follow every application in one place instead of digging through your inbox.
Free account · No card required
Your next opportunity starts here
Prepare, apply, track, interview and get hired — all from one platform, with AI in your corner.