Remote 10b5-1 Stock Plan Specialist

Empower Retirement; Greenwood Village (CO); Híbrido; USD 66.000 - 93.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Medical, dental, vision, and life保险

401(k) with company match

Tuition reimbursement

Paid time off

Volunteer time

BRGs

Descripción de la vacante

Empower Retirement seeks an experienced professional to manage Rule 10b5‑1 trading plan administration, compliance monitoring, and reporting for insider transactions. You will coordinate with executive servicing teams, issuers, and internal partners to ensure proper pre‑clearance, documentation, and timely execution.

Ideal candidates have 3+ years in equity trading or compliance, active FINRA Series 7 and NASAA Series 63 licenses, and strong analytical and communication skills.

Formación

• Bachelor's degree in Finance, Business Administration, or related field with 3+ years in equity trading, compliance, or similar; or 7+ years experience in lieu of degree.
• Active FINRA Series 7 and NASAA Series 63 registrations/licenses.
• FINRA Fingerprinting required.
• Working knowledge of Rule 10b5-1, Rule 144, Section 16, Form 144, and EDGAR/EDGAR Next compliance requirements.
• Quantitative, analytical, and research skills with strong attention to detail.
• Excellent written and verbal communication skills.
• Demonstrated integrity and sound judgment when handling MNPI.
• Ability to build relationships with executives, issuers, plan sponsors, and internal partners.
• Proficiency with CRM systems, SharePoint, equity trading platforms, Microsoft Excel, and reporting tools.

Responsabilidades

• Set up and administer Rule 10b5‑1 trading plans.
• Coordinate with trading teams to align plans with insider policies and pre‑clearance procedures.
• Execute and monitor trades under established 10b5‑1 plans with accuracy and regulatory compliance.
• Coordinate Rule 144 and Form 144 filings for insider transactions.
• Monitor Rule 144(e) volume limitations and assist with Form 144 submissions.
• Apply SEC regulations and EDGAR/EDGAR Next requirements to support compliance.
• Serve as liaison among executives and internal teams.
• Prepare and deliver reports on holdings, trading activity, and compliance.
• Identify process improvements and regulatory tech opportunities.
• Collaborate with partners to support EDGAR Next readiness.
• Perform other duties as assigned.

Conocimientos

Rule 10b5-1 compliance

Rule 144 reporting

EDGAR/EDGAR Next

FINRA Series 7

NASAA Series 63

CRM systems

Microsoft Excel

SharePoint

Equity trading

MNPI handling

Educación

Bachelor's degree in Finance/Business

Herramientas

CRM systems

SharePoint

Microsoft Excel

Equity trading platforms

Reporting tools

Descripción del empleo

Empower Retirement seeks an experienced professional to manage Rule 10b5‑1 trading plan administration, compliance monitoring, and reporting for insider transactions. You will coordinate with executive servicing teams, issuers, and internal partners to ensure proper pre‑clearance, documentation, and timely execution.

Ideal candidates have 3+ years in equity trading or compliance, active FINRA Series 7 and NASAA Series 63 licenses, and strong analytical and communication skills.