Senior Manager – Stock Plan Participant Services

🔥 0 minutes ago

🇺🇸 United States – Remote

💵 $96.1k - $135.7k / year

⏰ Full Time

🟠 Senior

👔 Manager

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

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Empower

WebsiteLinkedInAll Job Openings

10,000+ employees

💸 Finance

💳 Fintech

👥 B2C

Finance • Fintech • B2C

Empower is a leading provider of financial services focused on helping individuals and organizations achieve financial freedom through retirement planning and investment management. Serving over 19 million Americans, Empower offers a comprehensive suite of finance-related services, including smart planning and investment advice, and tools like the Empower Personal Dashboard™ for a complete financial view. The company is renowned as a top retirement plan provider and works closely with personal investors, workplace plan savers, plan sponsors, and financial professionals. Empower is also recognized for initiatives in Diversity, Equity, Inclusion, and has a social commitment that bolsters community impact.

📋 Description

• Lead, coach, and develop Equity Compensation Consultants • Oversee daily Stock Plan Participant Services operations • Conduct one-on-one meetings, performance evaluations, and coaching sessions • Manage staffing, scheduling, workload distribution, and service coverage • Serve as the primary escalation point for complex participant inquiries and service concerns • Supervise participant trading support and stock plan transactions, including Rule 10b5-1 and Rule 144 transactions • Provide accurate information about equity compensation plans, trading procedures, transactions, and financial resources • Monitor KPIs including service levels, quality, productivity, participant satisfaction, and operational accuracy • Identify inefficiencies and implement process improvements, technology enhancements, and service delivery solutions • Maintain documentation, case management practices, supervisory controls, and operational procedures • Ensure compliance with FINRA, SEC, and internal supervisory requirements • Review operational activities, identify risks, and escalate issues • Support audits, compliance reviews, quality assurance, and supervisory control processes • Collaborate with Workplace Stock Plan Services, Operations, Compliance, Trading, Technology, and other partners • Support onboarding, training, departmental initiatives, and implementation of new products, procedures, and technology • Provide leadership with operational insights, participant trends, performance results, and recommendations

🎯 Requirements

• Bachelor's degree • Minimum of 5 years of experience in equity compensation, stock plan services, wealth management, or financial services • Strong knowledge of equity compensation plans, stock plan administration, participant servicing, and brokerage operations • Experience overseeing operational workflows and service delivery within a regulated financial services environment • Ability to coach, develop, and motivate teams to achieve performance goals • Strong understanding of Rule 10b5-1 trading plans and Rule 144 transactions • Active FINRA Series 7, Series 24 (or both Series 9 and Series 10 in lieu of Series 24), and Series 65 or Series 66 registrations at the time of hire • Certified Equity Professional (CEP) designation required within corporate approved timelines • FINRA Fingerprinting required • Applicants must be authorized to work for any employer in the U.S.; no employment visa sponsorship or takeover of sponsorship, including CPT/OPT • Reliable high-speed internet with a wired connection and a suitable home workspace • 2 or more years of people leadership or supervisory experience • Experience leading participant service teams • Experience supporting RSUs, ESPPs, stock options, and other equity-based awards • Experience with stock plan administration platforms, brokerage trading systems, CRM tools, or case management applications • Experience supporting regulatory examinations, internal audits, supervisory controls, and risk management activities • Experience partnering with cross-functional teams on operational and technology enhancements

🏖️ Benefits

• Medical, dental, vision and life insurance • 401(k) plan with generous company matching contributions (up to 6%) • Financial advisory services • Potential company discretionary contribution • Broad investment lineup • Tuition reimbursement up to $5,250/year • Business-casual environment with the option to wear jeans • Generous paid time off upon hire • Ten paid company holidays and three floating holidays each calendar year • Paid volunteer time — 16 hours per calendar year • Paid parental leave • Paid short- and long-term disability • Family and Medical Leave (FMLA) • Business Resource Groups (BRGs) • Flexible work environment • Other necessary computer equipment provided • Remote work with reliable high-speed wired internet and a suitable home workspace