Note: The job is a remote job and is open to candidates in USA. Empower is a financial services company focused on helping customers achieve financial freedom through retirement and investment solutions. The Senior Stock Plan Services Associate provides advanced operational support and subject matter expertise across equity compensation, brokerage operations, and securities transactions. The role processes complex transactions, resolves escalated issues, supports compliance and controls, and mentors associates while driving operational improvements.
Responsibilities
- Serve as a subject matter expert across Stock Plan Services operations, equity compensation processes, brokerage operations, and securities transaction workflows
- Perform Principal Review and acceptance of new account applications in accordance with applicable policies, procedures, and regulatory requirements
- Process and review complex stock plan transactions, reconciliations, operational exceptions, and participant account activity
- Prioritize workload across operational functions to meet established service-level commitments
- Provide technical guidance to associates and internal business partners on complex stock plan processes and escalated operational issues
- Research, resolve, review, and approve complex operational exceptions within established policies, procedures, and authority levels
- Support operational processing for equity compensation programs, including restricted stock units (RSUs), stock options, employee stock purchase plans (ESPPs), Rule 10b5-1 trading programs, and related stock plan events
- Evaluate and recommend workflow efficiencies, operational improvements, control enhancements, and risk-mitigation opportunities
- Support team leadership through transaction reviews, audits, reporting, quality initiatives, and operational-readiness activities
- Implement applicable regulatory and procedural changes within operational processes while maintaining appropriate controls
- Partner with Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, and client-facing teams to resolve operational issues and support business initiatives
- Mentor associates by sharing technical knowledge, supporting training efforts, and promoting operational best practices
- Perform other duties as assigned
Skills
- Bachelor's degree in Business, Finance, or a related field; in lieu of a degree, four additional years of financial services experience
- Minimum of four years of financial services experience
- FINRA Series 7 registration required
- FINRA Series 24 registrations required within corporate established timelines. Fully licensed candidates are preferred
- FINRA Fingerprinting required
- Advanced knowledge of stock plan administration, brokerage operations, equity compensation programs, and securities transaction processing
- Experience supporting operational controls, audits, compliance activities, and risk management
- Strong analytical, organizational, communication, and problem-solving skills, with the ability to influence without direct authority
- Experience supporting stock plan services, brokerage operations, equity compensation programs, or securities operations
- Experience with Pershing NetX360
- Certified Equity Professional (CEP) designation
- Direct operational experience supporting RSUs, stock options, ESPPs, and Rule 10b5-1 trading programs
- Experience resolving complex or escalated securities transaction and participant-account issues
Benefits
- 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.
- Non-sales positions have the opportunity to participate in a bonus program.
- A flexible work environment
- Other necessary computer equipment will be provided.
Company Overview