Stock Plan Services Quality & Compliance Lead

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

Job summary

Empower is seeking a Quality Specialist for Stock Plan Services to perform quality reviews of back-office processing functions and ensure compliance with internal policies. You will partner with Operations, Service, Compliance, and other teams to improve processes, manage risk, and maintain a controlled processing environment.

Responsibilities include approvals of daily activities, post-transaction QA, reconciliations, and training teammates on quality standards.

Qualifications

• Bachelor’s degree in Business, Finance, or related field; or four additional years of financial services experience.
• 3+ years of brokerage, brokerage operations, or stock plan services experience.
• FINRA Series 7 and Series 24 registrations required
• FINRA fingerprinting required
• Proficiency with Microsoft Office (Excel/Word/SharePoint).
• Strong communication, organizational, and problem-solving skills with attention to detail.
• Ability to work independently and meet deadlines.
• Ability to collaborate across teams and levels.
• Ability to coordinate multiple tasks within deadlines (same-day processing).

Responsibilities

• Perform quality reviews of back-office processing functions for Stock Plan Services.
• Ensure quality, accuracy, productivity, and service-level standards are met.
• Review and approve stock plan processing activities including enrollments and exercises.
• Review pending transactions and escalated items per policies and controls.
• Verify data accuracy across multiple systems; conduct post-transaction QA and reconciliations.
• Identify trends in errors and recommend process improvements.
• Research and resolve escalated service and operational issues.
• Train and mentor teammates on procedures and quality standards.
• Support responses to FINRA, SEC, Internal Audit, and regulators.
• Monitor risk, AML concerns, and potential fraudulent activity.
• Collaborate with Operations, Service, and Compliance to maintain control.
• Communicate with external vendors as needed.

Skills

Communication

Organization

Problem solving

Attention to detail

Independence

Team collaboration

Education

Bachelor’s degree in Business/Finance

Tools

Microsoft Office

Excel

Word

SharePoint

Job description

Empower is seeking a Quality Specialist for Stock Plan Services to perform quality reviews of back-office processing functions and ensure compliance with internal policies. You will partner with Operations, Service, Compliance, and other teams to improve processes, manage risk, and maintain a controlled processing environment.

Responsibilities include approvals of daily activities, post-transaction QA, reconciliations, and training teammates on quality standards.