Stock Plan Services Quality 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

Stock Plan Services Quality Specialist

The Stock Plan Services Quality Specialist performs quality reviews of back-office operational processing functions supporting stock plan services. This role helps ensure the accurate and timely processing of customer requests, stock plan transactions, and administrative activities while maintaining compliance with internal policies and regulatory requirements. This role partners with Operations, Service, Compliance, and other business partners to improve processes, manage risk, and support an efficient and controlled processing environment. Accountable for daily approvals and escalations, ensuring departmental quality and time standards are met, as well as post transaction quality assurance, research, reconciliations and reprocessing functions.

What You Will Do

• 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.

What You Will Bring

• Bachelor’s degree in Business, Finance, or a 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.

What Will Set You Apart

• Current FINRA Series 7 and Series 24 registrations.
• Experience with NetX360 and Pershing Direct.
• Experience with stock plan administration, equity award processing, stock option exercises, trading, and money movement.
• Experience performing operational quality assurance, reconciliations, transaction research, or quality control within a brokerage or financial services environment.

Remote and Hybrid Positions

For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment, will be provided. You may be required to work in the office if you do not have an adequate home work environment and the required internet connection.

What we offer you

• Medical, dental, vision and life insurance.
• Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup.
• Tuition reimbursement up to $5,250/year.
• Business-casual environment that includes the option to wear jeans.
• Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year.
• Paid volunteer time — 16 hours per calendar year.
• Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA).
• Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.

Base Salary Range $65,600.00 - $92,675.00 The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.

We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age (40 and over), race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law. Equal opportunity employer Drug-free workplace.