Executive Equity Trading Specialist

Empower Finance; Pateros; On-site; PHP 1,200,000 - 2,400,000; Full time

Job summary

Empower Finance seeks an Executive Trading Specialist to provide specialized trading support for international executive stock plan participants, executing complex equity transactions with high accuracy and timeliness.

You will work with Executive Equity Compensation Consultants, Trading, Compliance, Legal, and Operations to ensure plan integrity, documentation, and compliant plan servicing, in a fast-paced environment.

Qualifications

• Bachelor's degree or equivalent experience.
• 5+ years in stock plan services, brokerage operations, or related financial services.
• Strong knowledge of executive equity compensation plans and Rule 10b5-1 trading plans.
• Experience with complex stock plan transactions in a regulated environment.
• Knowledge of SEC/FINRA requirements for executive securities transactions.
• Proficiency with stock plan administration systems, brokerage platforms, CRM, and MS Office.
• FINRA Series 7 and 63 registrations required.
• FINRA Fingerprinting required.
• CEP Level 1 certification required.

Responsibilities

• Respond to inbound calls and service requests from executive stock plan participants.
• Execute complex executive equity transactions (options exercises, restricted stock, share transfers).
• Provide guidance on transaction processes, documentation, timelines, and procedures.
• Monitor transactions through completion and resolve issues.
• Maintain high-touch service while following standards.
• Assist with intake and setup of Rule 10b5-1 trading plan requests.
• Explain Rule 10b5-1 plan processes and documentation.
• Coordinate with specialists and teams for ongoing plan servicing.
• Maintain documentation in regulatory and internal systems.
• Ensure compliance with FINRA, SEC, issuer, and internal requirements.
• Identify and escalate operational and participant risks.
• Participate in quality reviews, audits, and compliance activities.

Skills

Rule 10b5-1 knowledge

Executive equity compensation

Stock plan transactions

Regulatory awareness

Documentation excellence

Education

Bachelor's degree or equivalent experience

CEP Level 1 certification

Tools

Stock plan systems

Brokerage platforms

CRM applications

Microsoft Office

Job description

Empower Finance seeks an Executive Trading Specialist to provide specialized trading support for international executive stock plan participants, executing complex equity transactions with high accuracy and timeliness.

You will work with Executive Equity Compensation Consultants, Trading, Compliance, Legal, and Operations to ensure plan integrity, documentation, and compliant plan servicing, in a fast-paced environment.