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. The Stock Plan Corporate Services Operations Manager serves as the operational relationship manager and brokerage subject matter expert for stock plan clients, advising on brokerage operations, regulatory requirements, transaction processing, and participant services. The role coordinates operational readiness for major stock plan events, supports client and participant education, and drives continuous improvement.
Responsibilities
- Serve as the primary operational relationship manager for self-administered Stock Plan Services clients and partner with Relationship Managers supporting full-service clients
- Build and maintain trusted relationships with corporate issuers, Treasurers, Plan Sponsors, and other client stakeholders by serving as the primary operational contact for brokerage-related matters
- Attend client meetings to provide brokerage operations expertise and consult on stock plan processes, participant experience, and operational best practices
- Advise clients regarding brokerage account opening requirements, participant onboarding, stock plan transaction processing timelines, settlement processes, and money movement
- Provide operational guidance related to Rule 144 filings, SEC Forms 3, 4, and 5 reporting support, and high-level Rule 10b5-1 trading plan processes
- Translate complex brokerage, operational, and regulatory concepts into clear, client-focused communications
- Coordinate operational readiness for significant stock plan events, including vestings, enrollment periods, stock splits, spin-offs, mergers, acquisitions, and other corporate actions
- Partner with Brokerage Operations, Client Services, Participant Services, Relationship Managers, and Stock Plan Services leadership to ensure operational preparedness for key client events
- Monitor operational readiness, identify risks, and facilitate timely issue resolution
- Coordinate real-time communication across internal teams during high-volume or complex stock plan events
- Schedule, coordinate, and facilitate participant and issuer education sessions regarding brokerage services, account opening, trading processes, and stock plan transactions
- Support enrollment events and other educational initiatives designed to improve participant understanding and engagement
- Deliver presentations to corporate clients and participants while representing Empower as a knowledgeable and trusted advisor
- Serve as the central brokerage operations resource for the Stock Plan Services organization
- Identify opportunities to improve operational processes, increase efficiency, mitigate risk, and enhance the client experience through continuous improvement initiatives
Skills
- * Bachelor's degree or equivalent combination of education and experience
- * 5+ years of experience in brokerage operations, stock plan administration, equity compensation, relationship management, or financial services
- * Demonstrated expertise supporting brokerage operations for equity compensation plans
- * Strong working knowledge of equity compensation plans, including Restricted Stock Units (RSUs), Stock Options, and Employee Stock Purchase Plans (ESPPs)
- * Strong working knowledge of brokerage account opening and servicing
- * Strong working knowledge of Rule 144 filing requirements
- * Strong working knowledge of SEC Forms 3, 4, and 5 reporting support
- * Strong working knowledge of Rule 10b5-1 trading plans
- * Strong working knowledge of securities transaction processing, settlement, and money movement
- * FINRA Series 7 and 63 licenses or the ability to obtain the licenses if permitted by business requirements
- * FINRA fingerprinting required upon hire
- ***Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.***
- ***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.***
- * Excellent verbal communication, presentation, relationship management, and consulting skills
- * Ability to communicate complex operational and regulatory concepts to corporate clients and plan participants
- * Experience supporting publicly traded company stock plans
- * Experience working directly with corporate issuers, Treasurers, or Plan Sponsors
- * Experience presenting educational content to corporate clients and participants
- * Strong understanding of stock plan administration systems and brokerage platforms
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.
- Remote and hybrid positions: other necessary computer equipment will be provided.
Company Overview