Senior Stock Plan Operations & Equity SME

Empower Retirement; Greenwood Village (CO); Remote; USD 66,000 - 93,000; Full time

Benefits offered by this job

Medical, dental, vision and life insu

401(k) with company matching (up to 6%

Tuition reimbursement up to $5,250/yr

Paid time off and holidays

Volunteer time off

BRGs for inclusion

Job summary

Empower Retirement seeks a Senior Stock Plan Services Associate to perform advanced operational support for Stock Plan Services. This SME handles equity compensation operations, brokerage workflows, and complex stock plan transactions, guiding teammates and partners while upholding strong controls and continuous improvement.

You will collaborate with Operations, Compliance, Legal, Technology, and client-facing teams to ensure regulatory compliance and a high-quality participant experience.

Qualifications

• Bachelor's degree in Business, Finance, or a related field; in lieu of a degree, four additional years of financial services experience.
• Minimum of four years of financial services experience
• FINRA Series 7 registration required.
• FINRA Series 24 registrations required within corporate established timelines. Fully licensed candidates are preferred.
• FINRA Fingerprinting required.
• Advanced knowledge of stock plan administration, brokerage operations, equity compensation programs, and securities transaction processing.
• Experience supporting operational controls, audits, compliance activities, and risk management.
• Strong analytical, organizational, communication, and problem-solving skills, with the ability to influence without direct authority.

Responsibilities

• Serve as a subject matter expert across Stock Plan Services operations, equity compensation processes, brokerage operations, and securities transaction workflows.
• Perform Principal Review and acceptance of new account applications in accordance with applicable policies, procedures, and regulatory requirements.
• Process and review complex stock plan transactions, reconciliations, operational exceptions, and participant account activity.
• Prioritize workload across operational functions to meet established service-level commitments.
• Provide technical guidance to associates and internal business partners on complex stock plan processes and escalated operational issues.
• Research, resolve, review, and approve complex operational exceptions within established policies, procedures, and authority levels.
• Support operational processing for equity compensation programs, including RSUs, stock options, ESPPs, Rule 10b5-1 trading programs, and related stock plan events.
• Evaluate and recommend workflow efficiencies, operational improvements, control enhancements, and risk-mitigation opportunities.
• Support team leadership through transaction reviews, audits, reporting, quality initiatives, and operational-readiness activities.
• Implement applicable regulatory and procedural changes within operational processes while maintaining appropriate controls.
• Partner with various teams to resolve operational issues and support business initiatives.
• Mentor associates by sharing technical knowledge, supporting training efforts, and promoting operational best practices.
• Perform other duties as assigned.

Skills

FINRA Series 7

FINRA Series 24

FINRA Fingerprinting

Stock plan administration

Brokerage operations

Equity compensation programs

Securities transaction processing

Analytical skills

Communication skills

Problem-solving

Education

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

Four additional years of financial services experience in lieu of degree

Tools

Pershing NetX360

Job description

Empower Retirement seeks a Senior Stock Plan Services Associate to perform advanced operational support for Stock Plan Services. This SME handles equity compensation operations, brokerage workflows, and complex stock plan transactions, guiding teammates and partners while upholding strong controls and continuous improvement.

You will collaborate with Operations, Compliance, Legal, Technology, and client-facing teams to ensure regulatory compliance and a high-quality participant experience.