Stock Plans Manager / Sr. Manager

Siebert Financial; Nashville (TN); On-site; USD 70,000 - 90,000; Full time

Benefits offered by this job

401(k)

401(k) matching

Bonus based on performance

Competitive salary

Dental insurance

Health insurance

Opportunity for advancement

Paid time off

Vision insurance

Job summary

Siebert Financial is seeking an experienced Team Leader to oversee the Stock Plan Participant Support team in Nashville, Tennessee. This role focuses on managing day-to-day operations, coaching licensed specialists, and ensuring high-quality service delivery for employees in public company stock plans. Candidates should have a strong grasp of equity compensation, proven leadership experience, and must hold Series 7 and Series 63 licenses. A Series 24 license is required within 6 months of hire, with company support for preparation.

Qualifications

• Active Series 7 and Series 63 licenses required.
• Series 24 license required or must be obtained within 6 months of hire.
• 3+ years of experience in equity compensation or financial services support.
• 3+ years of leadership or supervisory experience.

Responsibilities

• Lead and mentor a team of Stock Plan Support Specialists.
• Ensure compliance with industry regulations.
• Serve as the primary escalation point for inquiries.
• Monitor service channels for effective participant support.

Skills

Leadership

Communication

Problem-solving

Client-focused

Job description

Benefits

• 401(k)
• 401(k) matching
• Bonus based on performance
• Competitive salary
• Dental insurance
• Health insurance
• Opportunity for advancement
• Paid time off
• Vision insurance

Position Summary

We are seeking an experienced, motivated, and client-focused Team Leader to oversee our Stock Plan Participant Support team. In this leadership role, you’ll manage day-to-day operations, coach and develop a team of licensed support specialists, and ensure high-quality service delivery for employees participating in public company stock plans.

The ideal candidate will bring a strong understanding of equity compensation, proven leadership skills, and a passion for developing others. Active Series 24 license is strongly preferred; candidates without the license must obtain it within 6 months of hire. Series 7 and Series 63 licenses are required.

Key Responsibilities

Leadership & Oversight

• Lead and mentor a team of Stock Plan Support Specialists, providing coaching, training, and performance feedback
• Ensure compliance with industry regulations and internal supervisory procedures
• Serve as the primary escalation point for complex participant inquiries and transactions
• Collaborate with internal stakeholders and brokerage partners to resolve issues and enhance service delivery
• Conduct quality assurance reviews and support licensing oversight as required under FINRA guidelines

Participant Experience

• Monitor service channels (phone, email, chat) to ensure timely and effective participant support
• Drive a client‑first culture by modeling best practices and ensuring the team delivers consistent, high-quality guidance
• Assist in onboarding new clients or expanding stock plan services with current clients

Operational Excellence

• Oversee transaction accuracy, reporting, and regulatory documentation
• Identify trends and operational gaps; recommend and implement process improvements
• Help maintain and update training materials, FAQs, and participant resources

Required Qualifications

• Active Series 7 and Series 63 licenses required
• Series 24 license required or must be obtained within 6 months of hire (company-sponsored preparation available)
• 3+ years of experience in equity compensation, brokerage operations, or financial services support
• 3+ years of leadership or supervisory experience (team lead, supervisor, or manager role)
• Strong knowledge of stock plan types (RSUs, stock options, ESPP) and trading platforms
• Excellent communication, coaching, and problem-solving skills
• Ability to manage priorities in a fast‑paced, client‑centric environment