Stock Plan Quality & Compliance Specialist

Empower Retirement, LLC; Overland Park (KS); On-site; USD 66,000 - 93,000; Full time

Benefits offered by this job

Medical, dental, vision and life保险

401(k) with company matching

Tuition reimbursement

Paid time off and holidays

Volunteer time

BRGs and inclusion

Job summary

Empower Retirement, LLC is seeking a Stock Plan Services Quality Specialist to perform quality reviews of back-office processing functions, ensuring accuracy, timely handling of customer requests, and adherence to internal policies and regulatory requirements.

You will partner with Operations, Service, Compliance, and other teams to improve processes, manage risk, and support a controlled processing environment. Qualifications include a bachelor’s in business/finance and FINRA registrations.

Qualifications

• Bachelor’s degree in Business, Finance, or a related field, or four additional years of financial services experience.
• 3+ years of experience in brokerage services, brokerage operations, or stock plan services.
• FINRA Series 7 and Series 24 registrations required.
• FINRA fingerprinting required.

Responsibilities

• Perform quality reviews of back-office processing functions and ensure adherence to quality standards.
• Review and approve stock plan processing activities and daily operational transactions.
• Verify accuracy and completeness of customer, account, and transaction data across systems.
• Conduct post-transaction QA, research, reconciliations, and reprocessing as needed.
• Identify trends in processing errors and communicate findings to leadership.
• Train and mentor team members on procedures and quality standards.
• Support responses to FINRA, SEC, Internal Audit, and other regulatory requests.

Skills

Communication

Problem-solving

Attention to detail

Organizational skills

Education

Bachelor’s degree in Business/Finance

Tools

Excel

Word

SharePoint

NetX360

Job description

Empower Retirement, LLC is seeking a Stock Plan Services Quality Specialist to perform quality reviews of back-office processing functions, ensuring accuracy, timely handling of customer requests, and adherence to internal policies and regulatory requirements.

You will partner with Operations, Service, Compliance, and other teams to improve processes, manage risk, and support a controlled processing environment. Qualifications include a bachelor’s in business/finance and FINRA registrations.