Executive Stock Plan Services Consultant

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

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 Executive Stock Plan Services Consultant, internally known as Executive Trading Specialist, provides specialized trading support and execution services for executive-level stock plan participants, with a primary focus on international executive participants. Operating within an inbound service environment, the Specialist executes complex executive equity transactions, supports Rule 10b5-1 trading plan administration, and delivers a high-touch participant experience.

The Executive Trading Specialist serves as a subject matter expert in executive trading execution and helps ensure transactions are completed accurately, efficiently, and in accordance with applicable SEC, FINRA, issuer, and internal requirements. The Specialist partners with Executive Equity Compensation Consultants, Executive Services, Trading, Operations, Compliance, Legal, Stock Plan Services, and other business partners to resolve complex transactions and provide seamless participant handoffs.

What You Will Do

• Respond to inbound calls and service requests from executive stock plan participants requiring specialized trading and transaction support.
• Execute complex executive equity transactions, including stock option exercises, restricted stock sales, share transfers, and other equity-related transactions.
• Provide guidance on transaction processes, documentation requirements, execution timelines, and trading procedures.
• Monitor transactions through completion and proactively resolve execution and settlement issues.
• Provide high-touch service to executive participants while maintaining established operational and service standards.
• Support additional service queues during periods of increased volume or staffing needs.
• Assist executive participants with the intake and setup of Rule 10b5-1 trading plan requests.
• Explain Rule 10b5-1 plan processes, documentation requirements, and execution procedures.
• Coordinate with Rule 10b5-1 Specialists and the Executive Trading team for ongoing plan servicing.
• Complete and maintain documentation related to Rule 10b5-1 activities in accordance with regulatory and internal requirements.
• Serve as a subject matter expert on executive participant trading transactions, operational procedures, and documentation requirements.
• Coordinate with internal business partners to facilitate compliant trade execution, including transactions subject to insider trading restrictions and Rule 144 reporting requirements.
• Remain current on operational and regulatory requirements affecting executive transactions and escalat e issues according to established procedures.
• Ensure executive trading activities comply with applicable FINRA, SEC, issuer, and internal supervisory requirements.
• Maintain accurate records of participant interactions, trading instructions, approvals, and transaction documentation.
• Identify and elevate operational, regulatory, and participant risks according to established procedures.
• Participate in quality reviews, supervisory controls, audits, and compliance activities.
• Partner with Executive Equity Compensation Consultants and the Executive Services team when participant needs extend beyond trading execution to equity education, financial planning coordination, or wealth management services, as applicable.
• Collaborate with Executive Services, Stock Plan Services, Trading, Operations, Compliance, Legal, and issuer contacts to resolve complex participant and transaction issues.
• Share technical expertise and best practices related to executive trading, Rule 10b5-1 administration, and operational procedures with internal partners.
• Contribute to process improvement and departmental initiatives that enhance execution quality, operational efficiency, and executive participant service.

What You Will Bring

• Bachelor's degree or equivalent experience.
• 5 years of experience in stock plan services, brokerage operations, securities trading, equity compensation, or financial services.
• Strong knowledge of executive equity compensation plans, securities trading operations, Rule 10b5-1 trading plans, and insider trading requirements.
• Experience supporting complex stock plan transactions in a regulated financial services environment.
• Knowledge of executive equity transactions, including stock option exercises, restricted stock sales, share transfers, and related securities transactions.
• Knowledge of applicable SEC and FINRA requirements related to executive securities transactions.
• Proficiency with stock plan administration systems, brokerage platforms, CRM applications, and Microsoft Office.
• FINRA Series 7 and Series 63 registrations required.
• FINRA Fingerprinting required.
• CEP® Level 1 certification required.

What Will Set You Apart

• Full Certified Equity Professional (CEP®) designation.
• Experience supporting executive-level or high-net-worth stock plan participants.
• Experience supporting international equity compensation or securities transactions.
• Experience with Rule 10b5-1 trading plan administration and Rule 144 requirements.

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.