Lead Stock Plan Services

Empower Retirement; Greenwood Village (CO); On-site; USD 72,000 - 102,000; Full time

Benefits offered by this job

Medical Insurance

Dental Insurance

Vision Insurance

Life Insurance

401(k) Match

Tuition Reimbursement

Paid Time Off

Volunteer Time Off

BRGs

Job summary

Empower Retirement seeks a Lead Stock Plan Services Associate to serve as operational lead for equity compensation operations, brokerage processes, and securities regulations. You will coordinate daily workflows, review complex stock plan transactions, and mentor associates while partnering with Operations, Compliance, Payroll, Legal, and Technology to ensure accurate and efficient service delivery.

Highlights include active FINRA registrations, experience in stock plan administration, and a

Qualifications

• Bachelor's degree in Business, Finance, or related field or four additional years of financial services experience
• Minimum of six years of financial services experience
• Experience supporting Stock Plan Services, brokerage operations, equity compensation programs, or securities operations
• Active FINRA Series 7 and 24 registrations required
• FINRA Fingerprinting required
• Advanced knowledge of stock plan administration and regulatory compliance
• Experience leading cross-functional initiatives and coordinating multiple partners

Responsibilities

• Serve as the operational lead and subject matter expert for Stock Plan Services
• Coordinate daily operational workflows and balance workloads with leadership
• Review and approve complex stock plan transactions and reconciliations
• Lead resolution of complex operational escalations
• Provide technical guidance and mentoring to associates
• Support equity compensation programs and related events
• Coordinate readiness for new products, regulatory changes, and client implementations
• Identify operational risks and strengthen internal controls
• Lead process improvements and automation opportunities
• Collaborate with multiple teams to resolve issues and implement initiatives
• Develop SOPs, training materials, and process documentation
• Facilitate onboarding and associate training
• Perform other duties as assigned

Skills

Stock Plan Services

Brokerage Operations

Equity Compensation

Regulatory Knowledge

Operational Risk

Cross-functional Leadership

SOP Development

Process Improvement

Audit Support

Problem Solving

Education

Bachelor's degree

Tools

Pershing NetX360

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 Lead Stock Plan Services Associate serves as the operational lead and subject matter expert for Stock Plan Services, providing advanced expertise in equity compensation operations, brokerage processes, securities regulations, and stock plan transaction workflows. This role manages complex operational activities, escalated issues, workflow coordination, risk mitigation, and continuous process improvement.

The Lead Associate independently handles complex transactions and operational exceptions while coordinating daily team workflows, maintaining internal controls, and supporting consistent service delivery. Operating as a non-managerial operational lead, this role provides technical guidance and influences operational outcomes without direct people management responsibilities. The role collaborates with Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, Finance, Product, and client-facing teams to support accurate, compliant, and efficient stock plan operations.

What You Will Do

• Serve as the operational lead and subject matter expert for Stock Plan Services, providing technical guidance across equity compensation programs and brokerage operations
• Coordinate daily operational workflows, establish processing priorities, and partner with leadership to balance workloads and meet service-level commitments
• Perform Principal Review and acceptance of new brokerage account applications in accordance with applicable regulatory requirements, internal policies, and assigned approval authority
• Independently process, review, and approve complex stock plan transactions, reconciliations, operational exceptions, and participant account activity within assigned authority
• Lead the resolution of complex operational escalations through root cause analysis, corrective actions, and sustainable process improvements
• Provide technical guidance, coaching, and mentoring to associates while serving as the primary escalation resource for operational questions
• Support equity compensation programs, including Restricted Stock Units (RSUs), stock options, Employee Stock Purchase Plans (ESPPs), Rule 10b5-1 trading plans, executive equity programs, and related stock plan events
• Coordinate operational readiness for new products, regulatory changes, technology enhancements, and client implementations
• Identify operational risks, recommend internal control enhancements, and support compliance with securities regulations, internal policies, and audit requirements
• Lead continuous improvement initiatives involving workflow optimization, automation opportunities, operational efficiency, and process standardization
• Coordinate cross-functional efforts with Operations, Compliance, Trade Desk, Payroll, Legal, Technology, Finance, Product, and Service teams to resolve operational issues and implement business initiatives
• Support leadership with quality assurance reviews, audit preparation, operational reporting, key performance indicators (KPIs), trend analysis, and performance monitoring
• Develop and maintain standard operating procedures (SOPs), job aids, training materials, and operational process documentation to support consistency and scalability
• Facilitate knowledge sharing, onboarding, and associate training to promote operational consistency and continuous improvement
• Perform other duties as assigned

What You Will Bring

• Bachelor's degree in Business, Finance, or a related field or, in lieu of a degree, four additional years of financial services experience
• Minimum of six years of financial services experience
• Experience supporting Stock Plan Services, brokerage operations, equity compensation programs, or securities operations
• Active FINRA Series 7 registration required
• Active FINRA Series 24 registration required
• FINRA Fingerprinting required
• Advanced knowledge of stock plan administration, brokerage operations, securities regulations, equity compensation programs, and operational controls
• Demonstrated experience with operational risk management, internal controls, regulatory compliance, audit support, and process governance
• Experience identifying and implementing operational improvements, workflow optimization, and process standardization
• Experience leading cross-functional operational initiatives and coordinating activities across multiple business partners
• Strong analytical, organizational, communication, leadership, and problem-solving skills
• Demonstrated ability to influence without direct authority, coordinate cross-functional workflows, and achieve operational objectives
• Ability to manage multiple priorities while maintaining accuracy, regulatory compliance, operational quality, and service standards

What Will Set You Apart

• Experience using Pershing NetX360 for brokerage account servicing, operational processing, or transaction workflows
• Certified Equity Professional (CEP) designation
• Experience supporting complex executive equity compensation transactions, including Rule 10b5-1 trading plans
• Experience participating in stock plan platform enhancements, operational automation, or technology implementation initiatives
• Experience developing operational metrics, dashboards, or reporting used to improve transaction quality and service delivery

***Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.***

What we offer you

We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.

• Medical, dental, vision and life insurance
• Retirement savings - 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
• Tuition reimbursement up to $5,250/year
• Business-casual environment that includes the option to wear jeans
• Generous paid time off upon hire - including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
• Paid volunteer time - 16 hours per calendar year
• Leave of absence programs - including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
• Business Resource Groups (BRGs) - BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.

Base Salary Range

$72,200.00 - $101,975.00

The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.

Equal opportunity employer Drug-free workplace

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 (40 and over), 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.

For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment, will be provided. You may be required to work in the office if you do not have an adequate home work environment and the required internet connection.