Stock Plan Quality & Compliance Specialist

Empower LLC; United States; Remote; USD 66,000 - 93,000; Full time

Benefits offered by this job

Medical, dental, vision and life ins.

401(k) with company match

Tuition reimbursement

Casual dress code

Job summary

Empower LLC is seeking a Stock Plan Services Quality Specialist to perform quality reviews of back-office processing for stock plan services, ensuring accuracy and regulatory compliance. You will partner with Operations, Service, Compliance and other teams to improve processes, manage risk, and maintain an efficient processing environment.

Responsibilities include approvals of transactions, QA, reconciliations, research, and mentoring teammates, with emphasis on timely processing, risk

Qualifications

• Bachelor’s degree in Business, Finance, or related field; in lieu of a degree, 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
• Proficiency with Microsoft Office applications, including Excel, Word, and SharePoint
• Strong communication, organizational, and problem-solving skills with exceptional attention to detail
• Ability to work independently, exercise sound judgment, and maintain a high level of accuracy
• Ability to collaborate effectively across teams and organizational levels
• Ability to coordinate and complete multiple tasks within assigned deadlines, including same-day processing requirements

Responsibilities

• Perform quality reviews of back-office operational processing functions supporting Stock Plan Services and administer established quality control standards
• Ensure departmental quality, accuracy, productivity, and service-level standards are met
• Review and approve Stock Plan Services processing activities, including new account enrollments, stock and option award exercises, trading, money movement, and other daily operational transactions
• Review and approve pending transactions and escalated processing items in accordance with established policies, procedures, and control requirements
• Verify the accuracy and completeness of customer, account, transaction, and operational data across multiple systems
• Perform post-transaction quality assurance, research, reconciliations, and reprocessing activities
• Identify trends in processing errors, control gaps, and operational issues and communicate findings to leadership and team members
• Recommend process improvements that enhance operational efficiency, quality controls, accuracy, and risk management
• Research and resolve escalated and complex service and operational issues
• Train and mentor team members on operational procedures, processing requirements, and quality standards
• Support responses to FINRA, SEC, Internal Audit, and other regulatory or compliance requests
• Mitigate risk to the Stock Plan Services business by monitoring trading and security reviews, identifying process and procedural gaps, and recognizing red flags, anti-money laundering (AML) concerns, and potential fraudulent account activity
• Collaborate with Operations, Service, Compliance, and other business partners to support an efficient and controlled processing environment
• Communicate effectively with external vendors as needed

Skills

Communication

Attention to detail

Organizational skills

Problem solving

Independent bekerja

Team collaboration

Multi-tasking

Education

Bachelor’s degree in Business/Finance or related field

4+ years financial services experience in lieu of degree

Tools

MS Office Suite

Job description

Empower LLC is seeking a Stock Plan Services Quality Specialist to perform quality reviews of back-office processing for stock plan services, ensuring accuracy and regulatory compliance. You will partner with Operations, Service, Compliance and other teams to improve processes, manage risk, and maintain an efficient processing environment.

Responsibilities include approvals of transactions, QA, reconciliations, research, and mentoring teammates, with emphasis on timely processing, risk