Senior Stock Plan Services Expert - Remote

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

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.