Lead Stock Plan Services - Equity Ops & Compliance

Empower; United States; Hybrid; USD 72,000 - 102,000; Full time

Benefits offered by this job

Medical, dental, vision and life

401(k) with company matching up to 6%

Tuition reimbursement

Paid time off and holidays

Volunteer time

BRGs and inclusive culture

Job summary

Empower is seeking a Lead Stock Plan Services Associate to act as the operational lead and subject matter expert for equity compensation operations, brokerage processes, and related regulatory requirements. You will guide complex workflows and ensure accuracy and compliance across multiple teams.

In this role, you will independently manage complex stock plan transactions, drive continuous improvements, and mentor associates while coordinating with Operations, Compliance, Legal, Finance, and

Qualifications

• Bachelor’s degree in Business, Finance, or related field.
• Six+ years of financial services experience.
• Experience supporting Stock Plan Services or securities operations.
• Active FINRA Series 7 registration required.
• Active FINRA Series 24 registration required.
• FINRA fingerprinting required.
• Advanced knowledge of stock plan administration and regulatory controls.
• Experience with risk management, internal controls, and audits.
• Experience leading cross-functional initiatives.
• Strong analytical, organizational, communication, and problem-solving skills.
• Ability to influence without direct authority.
• Ability to manage multiple priorities with accuracy and compliance.

Responsibilities

• Serve as the operational lead and SME 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 regulatory requirements and policies.
• Independently process, review, and approve complex stock plan transactions, reconciliations, and participant activity within authority.
• Lead the resolution of complex operational escalations through root cause analysis and corrective actions.
• Provide technical guidance, coaching, and mentoring to associates as escalation resource.
• Support equity compensation programs including RSUs, stock options, ESPP, Rule 10b5-1 plans, and executive programs.
• Coordinate readiness for new products, regulatory changes, and client implementations.
• Identify operational risks and strengthen internal controls; support audit requirements.
• Lead continuous improvement initiatives for workflow optimization and standardization.
• Collaborate with cross-functional teams to resolve issues and implement business initiatives.
• Support leadership with QA reviews, KPIs, trend analysis, and performance monitoring.
• Develop and maintain SOPs, job aids, training materials, and process documentation.

Skills

Analytical thinking

Organizational skills

Communication

Leadership

Problem solving

Influence without authority

Cross-functional collaboration

Multi-tasking

Education

Bachelor’s degree in Business, Finance, or related field

Tools

Pershing NetX360

Job description

Empower is seeking a Lead Stock Plan Services Associate to act as the operational lead and subject matter expert for equity compensation operations, brokerage processes, and related regulatory requirements. You will guide complex workflows and ensure accuracy and compliance across multiple teams.

In this role, you will independently manage complex stock plan transactions, drive continuous improvements, and mentor associates while coordinating with Operations, Compliance, Legal, Finance, and