Remote Stock Plan Services & Compliance Associate

Empower Retirement, LLC; Overland Park (KS); On-site; USD 66,000 - 93,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

Life insurance

401(k) with 6% match

Tuition reimbursement

Paid time off

Volunteer time

Job summary

Empower Retirement, LLC is seeking an experienced professional to set up and administer Rule 10b5-1 trading plans in a highly regulated environment. You will coordinate with executive servicing teams, issuers, and legal to ensure plans meet policy and pre-clearance requirements.

You will execute and monitor trading plans, manage Rule 144 filings, and prepare detailed reports on holdings and compliance. A strong foundation in EDGAR/EDGAR Next and cross-functional collaboration is essential for

Qualifications

• Bachelor’s degree in Finance or related field; 3+ years in equity trading, compliance, or executive services (or 7+ years total).
• Active FINRA Series 7 and NASAA Series 63 registrations/licensing.
• FINRA Fingerprinting is required.
• Solid knowledge of Rule 10b5-1, Rule 144, Form 144, EDGAR/EDGAR Next.
• Strong analytical, written and verbal communication.

Responsibilities

• Set up and administer Rule 10b5-1 trading plans with cooling-off periods and pre-clearance.
• Coordinate with executive servicing teams and issuers to align plans with policies.
• Execute and monitor trading plans ensuring accuracy and regulatory compliance.
• Coordinate Rule 144 and Form 144 filings for insider transactions.
• Monitor Rule 144(e) limits and support Form 144 submissions.
• Prepare reports on holdings, trading activity, and compliance status.
• Identify opportunities to improve processes and regulatory technology.

Skills

Regulatory compliance

Rule 10b5-1 trading plans

Rule 144

EDGAR/EDGAR Next

NASDAQ/SEC filings

Cross-functional collaboration

FINRA Series 7

NASAA Series 63

Data analysis

MS Excel

Education

Bachelor’s degree in Finance or related field

Tools

CRM systems

SharePoint

Equity trading platforms

Microsoft Excel

EDGAR systems

Job description

Empower Retirement, LLC is seeking an experienced professional to set up and administer Rule 10b5-1 trading plans in a highly regulated environment. You will coordinate with executive servicing teams, issuers, and legal to ensure plans meet policy and pre-clearance requirements.

You will execute and monitor trading plans, manage Rule 144 filings, and prepare detailed reports on holdings and compliance. A strong foundation in EDGAR/EDGAR Next and cross-functional collaboration is essential for