Lead Stock Plan Services

Empower Retirement · Banking & Financial Services

Nationwide Remote
Hybrid
Posted yesterday
Closes today

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About the job

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them.

Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.

The Lead Stock Plan Services Associate serves as the operational lead and subject matter expert for Stock Plan Services, providing advanced expertise in equity compensation operations, brokerage processes, securities regulations, and stock plan transaction workflows. This role manages complex operational activities, escalated issues, workflow coordination, risk mitigation, and continuous process improvement.

The Lead Associate independently handles complex transactions and operational exceptions while coordinating daily team workflows, maintaining internal controls, and supporting consistent service delivery. Operating as a non-managerial operational lead, this role provides technical guidance and influences operational outcomes without direct people management responsibilities. The role collaborates with Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, Finance, Product, and client-facing teams to support accurate, compliant, and efficient stock plan operations.

What You Will Do

Serve as the operational lead and subject matter expert for Stock Plan Services, providing technical guidance across equity compensation programs and brokerage operations

Coordinate daily operational workflows, establish processing priorities, and partner with leadership to balance workloads and meet service-level commitments

Perform Principal Review and acceptance of new brokerage account applications in accordance with applicable regulatory requirements, internal policies, and assigned approval authority

Independently process, review, and approve complex stock plan transactions, reconciliations, operational exceptions, and participant account activity within assigned authority

Lead the resolution of complex operational escalations through root cause analysis, corrective actions, and sustainable process improvements

Provide technical guidance, coaching, and mentoring to associates while serving as the primary escalation resource for operational questions

Support equity compensation programs, including Restricted Stock Units (RSUs), stock options, Employee Stock Purchase Plans (ESPPs), Rule 10b5-1 trading plans, executive equity programs, and related stock plan events

Coordinate operational readiness for new products, regulatory changes, technology enhancements, and client implementations

Identify operational risks, recommend internal control enhancements, and support compliance with securities regulations, internal policies, and audit requirements

Lead continuous improvement initiatives involving workflow optimization, automation opportunities, operational efficiency, and process standardization

Coordinate cross-functional efforts with Operations, Compliance, Trade Desk, Payroll, Legal, Technology, Finance, Product, and Service teams to resolve operational issues and implement business initiatives

Support leadership with quality assurance reviews, audit preparation, operational reporting, key performance indicators (KPIs), trend analysis, and performance monitoring

Develop and maintain standard operating procedures (SOPs), job aids, training materials, and operational process documentation to support consistency and scalability

Facilitate knowledge sharing, onboarding, and associate training to promote operational consistency and continuous improvement

Perform other duties as assigned

What You Will Bring

Bachelor's degree in Business, Finance, or a related field or, in lieu of a degree, four additional years of financial services experience

Minimum of six years of financial services experience

Experience supporting Stock Plan Services, brokerage operations, equity compensation programs, or securities operations

Active FINRA Series 7 registration required

Active FINRA Series 24 registration required

FINRA Fingerprinting required

Advanced knowledge of stock plan administration, brokerage operations, securities regulations, equity compensation programs, and operational controls

Demonstrated experience with operational risk management, internal controls, regulatory compliance, audit support, and process governance

Experience identifying and implementing operational improvements, workflow optimization, and process standardization

Experience leading cross-functional operational initiatives and coordinating activities across multiple business partners

Strong analytical, organizational, communication, leadership, and problem-solving skills

Demonstrated ability to influence without direct authority, coordinate cross-functional workflows, and achieve operational objectives

Ability to manage multiple priorities while maintaining accuracy, regulatory compliance, operational quality, and service standards

What Will Set You Apart

Experience using Pershing NetX360 for brokerage account servicing, operational processing, or transaction workflows

Certified Equity Professional (CEP) designation

Experience supporting complex executive equity compensation transactions, including Rule 10b5-1 trading plans

Experience participating in stock plan platform enhancements, operational automation, or technology implementation initiatives

Experience developing operational metrics, dashboards, or reporting used to improve transaction quality and service delivery

***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.***

What we offer you

We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.

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

$72,200.00 - $101,975.00

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.

Equal opportunity employer • Drug-free workplace

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.

***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.***

Job Posting End Date at 12:01 am on:

10-22-2026

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