Stock Plan Ops Lead — Equity & Compliance

Empower Retirement, LLC; Overland Park (KS); On-site; USD 72,000 - 102,000; Full time

Benefits offered by this job

Medical, dental, vision & life

401(k) with company match

Tuition reimbursement

Paid time off

Volunteer time

BRGs

Job summary

Empower Retirement, LLC in Overland Park, KS seeks a Lead Stock Plan Services Associate to act as operational lead for equity compensation operations, guiding brokerage workflows and regulatory adherence. You will manage complex transactions, review accounts, mentor teammates, and collaborate with Compliance, Legal, Finance, Product and client teams to ensure accurate, scalable stock plan service delivery.

The role offers a comprehensive benefits package, a base salary range of $72,200 to

Qualifications

• Bachelor's degree or four years of financial services experience.
• Six years of financial services experience.
• Experience with Stock Plan Services or securities operations.
• Active FINRA Series 7 and Series 24 registrations.
• FINRA Fingerprinting required.
• Advanced knowledge of stock plan administration and controls.
• Experience with risk management, regulatory compliance, audit support, and process governance.
• Experience leading cross-functional initiatives and coordinating activities across partners.

Responsibilities

• Serve as the operational lead for Stock Plan Services with technical guidance across equity programs.
• Coordinate daily workflows and balance workloads to meet SLAs.
• Review and approve complex stock plan transactions and reconciliations.
• Lead resolution of escalations through root-cause analysis and process improvements.
• Provide coaching and mentoring to associates as escalation lead.
• Support equity programs including RSUs, stock options, ESPP and 10b5-1 plans.
• Coordinate readiness for new products, regulatory changes, and client implementations.
• Identify risks and recommend internal control enhancements for compliance.

Skills

Analytical skills

Organizational skills

Communication skills

Leadership

Problem-solving

Cross-functional collaboration

Influence without authority

Multitasking

Education

Bachelor's degree in Business/Finance

Certified Equity Professional (CEP) designation

Tools

Pershing NetX360

Job description

Empower Retirement, LLC in Overland Park, KS seeks a Lead Stock Plan Services Associate to act as operational lead for equity compensation operations, guiding brokerage workflows and regulatory adherence. You will manage complex transactions, review accounts, mentor teammates, and collaborate with Compliance, Legal, Finance, Product and client teams to ensure accurate, scalable stock plan service delivery.

The role offers a comprehensive benefits package, a base salary range of $72,200 to