Stock Plan Services Associate

🔥 2 minutes ago

🇺🇸 United States – Remote

💵 $65.6k - $92.7k / year

⏰ Full Time

🟡 Mid-level

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

👻 Ghost score 0%

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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

• Set up and administer Rule 10b5-1 trading plans in accordance with Rule 10b5-1(c), including cooling-off periods, single-trade plan requirements, and good-faith certifications • Coordinate with executive servicing teams, issuers, plan sponsors, and stakeholders regarding insider trading policies, documentation, and pre-clearance procedures • Execute and monitor transactions under established Rule 10b5-1 trading plans • Coordinate Rule 144 and Form 144 filing activities for insider transactions • Monitor aggregate trading activity for Rule 144(e) volume limitations and support timely Form 144 submission • Apply SEC regulations and EDGAR/EDGAR Next requirements to trading and reporting activities • Liaise among executive participants and internal legal, trading, operations, and executive servicing teams • Support client consultations by preparing trading plan, holdings, transaction, and compliance information • Prepare and deliver reports on holdings, trading activity, and compliance status • Identify opportunities to improve operational efficiency through enhanced processes and regulatory technology • Collaborate with internal and external partners on EDGAR Next readiness initiatives • Perform other duties as assigned

🎯 Requirements

• Bachelor’s degree in Finance, Business Administration, or a related field and a minimum of three years of relevant experience in equity trading, compliance, executive services, or a closely related financial services function; in lieu of a bachelor’s degree, a minimum of seven total years of relevant experience is required • Active FINRA Series 7 and NASAA Series 63 registrations/licenses • FINRA Fingerprinting required • Working knowledge of Rule 10b5-1, Rule 144, Section 16, Form 144, and EDGAR/EDGAR Next compliance requirements • Quantitative, analytical, and research skills with strong attention to detail • Excellent written and verbal communication skills • Demonstrated integrity and sound judgment when handling material non-public information (MNPI) • Ability to build and maintain effective professional relationships with executives, issuers/employers, plan sponsors, and internal partners • Proficiency with CRM systems, SharePoint, equity trading platforms, Microsoft Excel, and reporting tools • Applicants must be authorized to work for any employer in the U.S.; employment visa sponsorship is unavailable, including CPT/OPT

🏖️ 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) open to all • Bonus program opportunity for non-sales positions • Reliable high-speed internet with a wired connection and a suitable home workspace for remote positions • Necessary computer equipment provided