Remote Stock Plan Trading & Compliance Associate

Empower; Greenwood Village (CO); Hybrid; USD 66.000 - 93.000; Vollzeit

Benefits dieser Stelle

Medical Insurance

Dental Insurance

Vision Insurance

401(k) Matching

Tuition Reimbursement

Paid Time Off

Volunteer Time Off

BRGs

Zusammenfassung

Empower seeks a Stock Plan Services Associate in Greenwood Village, CO to implement and monitor Rule 10b5-1 trading plans, coordinate insider trading policies, and process Rule 144/144 filings. The role requires strong ethics, MNPI handling, and collaboration with executive servicing, legal, and operations teams.

You will administer trading plans, prepare compliance information, and deliver reports while supporting EDGAR/Next initiatives and regulatory requirements.

Qualifikationen

• Bachelor’s degree in Finance, Business Administration, or a related field and a minimum of three years of relevant experience in equity trading, compliance, executive services, or a closely related financial services function; in lieu of a bachelor’s degree, a minimum of seven total years of relevant experience is required.

Aufgaben

• Set up and administer Rule 10b5-1 trading plans in accordance with Rule 10b5-1(c), including cooling-off periods and good-faith certifications.
• Coordinate with executive servicing teams and plan sponsors to align trading plans with insider trading policies and pre-clearance procedures.
• Execute and monitor transactions under established Rule 10b5-1 trading plans with accuracy and regulatory compliance.
• Coordinate Rule 144 and Form 144 filing activities for insider transactions.
• Monitor aggregate trading activity for Rule 144(e) limitations and support Form 144 submissions.
• Apply SEC regulations and EDGAR/EDGAR Next requirements to support compliant trading and reporting.
• Serve as liaison among executives and internal legal, trading, operations teams.
• Prepare and deliver reports with holdings, trading activity, and compliance status.
• Identify opportunities to improve processes and regulatory technology.
• Collaborate to support readiness for EDGAR Next initiatives.
• Perform other duties as assigned.

Kenntnisse

FINRA Series 7

NASAA Series 63

Rule 10b5-1

Rule 144

Form 144

Section 16

EDGAR/EDGAR Next

Excel

CRM systems

Reporting tools

Ausbildung

Bachelor’s degree in Finance/Business

Three years of relevant experience in equity trading or compliance

Tools

SharePoint

Microsoft Excel

Equity trading platforms

CRM systems

Jobbeschreibung

Empower seeks a Stock Plan Services Associate in Greenwood Village, CO to implement and monitor Rule 10b5-1 trading plans, coordinate insider trading policies, and process Rule 144/144 filings. The role requires strong ethics, MNPI handling, and collaboration with executive servicing, legal, and operations teams.

You will administer trading plans, prepare compliance information, and deliver reports while supporting EDGAR/Next initiatives and regulatory requirements.