Senior Stock Plan Services Associate

Empower Retirement; United States; Remote; USD 90,000 - 120,000; Full time

Benefits offered by this job

Medical Insurance

Dental Insurance

Vision Insurance

Life Insurance

401(k) with match

Job summary

Empower Retirement is seeking a Senior Stock Plan Services Associate to lead complex equity-operations, ensure regulatory compliance, and provide expert guidance across stock plan workflows.

You will review new account applications, process RSUs, options, ESPPs, and related events while collaborating with Legal, Payroll, and Tech teams to maintain strong controls and accurate participant experiences.

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
• 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, employee stock purchase plans (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 Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, and client-facing 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

Analytical

Organizational

Communication

Problem-solving

Influence without authority

Education

Bachelor's degree in Business/Finance

FINRA Series 7 registration

FINRA Series 24 registrations

FINRA Fingerprinting

Tools

Pershing NetX360

Job description

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them.

Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.

The Senior Stock Plan Services Associate performs advanced operational support activities for Stock Plan Services and serves as a subject matter expert (SME) in equity compensation operations, brokerage processes, and stock plan transaction workflows. This role independently processes complex transactions, resolves escalated operational issues, provides technical guidance to teammates and internal business partners, and supports operational excellence through continuous improvement and a strong control environment.

The Senior Stock Plan Services Associate partners with Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, and client-facing teams to support accurate execution of stock plan activities, regulatory compliance, and a high-quality participant experience.

What You Will Do

• 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 restricted stock units (RSUs), stock options, employee stock purchase plans (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 Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, and client-facing 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.

What You Will Bring

• 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
• 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

What Will Set You Apart

• Experience supporting stock plan services, brokerage operations, equity compensation programs, or securities operations
• Experience with Pershing NetX360
• Certified Equity Professional (CEP) designation
• Direct operational experience supporting RSUs, stock options, ESPPs, and Rule 10b5-1 trading programs
• Experience resolving complex or escalated securities transaction and participant-account issues

#LI-Remote #PJPW

***Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.***

What we offer you

• Medical, dental, vision and life insurance
• Retirement savings - 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investme