Senior Stock Plan Services Associate

Job not on LinkedIn

🔥 11 minutes ago

🇺🇸 United States – Remote

💵 $65.6k - $92.7k / year

⏰ Full Time

🟠 Senior

🦅 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

• 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 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 service-level commitments • Provide technical guidance 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 equity compensation programs including RSUs, stock options, 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 regulatory and procedural changes within operational processes while maintaining controls • Partner with Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, and client-facing teams • Mentor associates through technical knowledge sharing, training support, and promotion of operational best practices • Perform other duties as assigned

🎯 Requirements

• 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 • 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 • Must be authorized to work for any employer in the U.S.; employment visa sponsorship unavailable, including CPT/OPT • Reliable high-speed internet with a wired connection and a suitable home workspace

🏖️ 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) facilitating inclusion and collaboration • Bonus program opportunity for non-sales positions • Other necessary computer equipment provided • Flexible work environment • Reliable high-speed internet and home workspace required for remote work

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