Rule 10b5-1 Stock Plan Specialist — Remote

Empower LLC; United States, Northern America, Americas; Remote; USD 66,000 - 93,000; Full time

Benefits offered by this job

Medical Insurance

401(k) Matching

Tuition Reimbursement

Paid Time Off

Volunteer Time

Job summary

Empower LLC is seeking a Stock Plan Services Associate to support the implementation, administration, and monitoring of Rule 10b5-1 trading plans for corporate insiders and plan sponsors. This role emphasizes accuracy, regulatory compliance, and collaboration with executive servicing, legal, and operations teams.

The position offers a remote nationwide work arrangement, a base salary range of $65,600 to $92,675, and comprehensive benefits including medical, retirement, tuition reimbursement, and

Qualifications

• Quantitative, analytical, and research skills with strong attention to detail.
• Excellent written and verbal communication skills.
• Proficiency with CRM systems, SharePoint, equity trading platforms, Microsoft Excel, and reporting tools.

Responsibilities

• Set up and administer Rule 10b5-1 trading plans in accordance with Rule 10b5-1(c).
• Coordinate with executive servicing teams, issuers, plan sponsors, and other stakeholders to align trading plans with insider trading policies and documentation requirements.
• Execute and monitor transactions under trading plans with accuracy, timeliness, and compliance.
• Coordinate Rule 144 and Form 144 filing activities for insider transactions.
• Monitor aggregate trading activity for Rule 144(e) limits and support Form 144 submissions.
• Support EDGAR/EDGAR Next compliance and regulatory technology improvements.
• Serve as a liaison among executives, legal, trading, operations, and servicing teams.
• Prepare and deliver reports on holdings, trading activity, and compliance.

Skills

Analytical skills

Communication skills

CRM systems

SharePoint

Excel

Trading platforms

Regulatory compliance

Education

Bachelor's degree in Finance/Business

Tools

FINRA Series 7

NASAA Series 63

Job description

Empower LLC is seeking a Stock Plan Services Associate to support the implementation, administration, and monitoring of Rule 10b5-1 trading plans for corporate insiders and plan sponsors. This role emphasizes accuracy, regulatory compliance, and collaboration with executive servicing, legal, and operations teams.

The position offers a remote nationwide work arrangement, a base salary range of $65,600 to $92,675, and comprehensive benefits including medical, retirement, tuition reimbursement, and