Stock Plan Services Quality Specialist

Job not on LinkedIn

🔥 0 minutes ago

🇺🇸 United States – Remote

💵 $65.6k - $92.7k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

👻 Ghost score 0%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

Apply Now

Find Similar Remote Jobs

Set Up Email Alert For New Jobs

📊 Check your resume score for this job

Improve your chances of getting an interview by checking your resume score before you apply.

Upload Resume

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

• Perform quality reviews of back-office operational processing functions supporting Stock Plan Services • Administer established quality control standards • Ensure departmental quality, accuracy, productivity, and service-level standards are met • Review and approve new account enrollments, stock and option award exercises, trading, money movement, and other daily operational transactions • Review and approve pending transactions and escalated processing items • Verify customer, account, transaction, and operational data across multiple systems • Perform post-transaction quality assurance, research, reconciliations, and reprocessing • Identify processing errors, control gaps, and operational issues and communicate findings to leadership and team members • Recommend process improvements for efficiency, quality controls, accuracy, and risk management • Research and resolve escalated and complex service and operational issues • Train and mentor team members on operational procedures, processing requirements, and quality standards • Support responses to FINRA, SEC, Internal Audit, and other regulatory or compliance requests • Monitor trading and security reviews, identify process and procedural gaps, and recognize AML concerns and potential fraudulent account activity • Collaborate with Operations, Service, Compliance, and other business partners • Communicate effectively with external vendors as needed

🎯 Requirements

• Bachelor’s degree in Business, Finance, or a related field; in lieu of a degree, four additional years of financial services experience • 3+ years of experience in brokerage services, brokerage operations, or stock plan services • FINRA Series 7 and Series 24 registrations required • FINRA fingerprinting required • Proficiency with Microsoft Office applications, including Excel, Word, and SharePoint • Strong communication, organizational, and problem-solving skills with exceptional attention to detail • Ability to work independently, exercise sound judgment, and maintain a high level of accuracy • Ability to collaborate effectively across teams and organizational levels • Ability to coordinate and complete multiple tasks within assigned deadlines, including same-day processing requirements • Applicants must be authorized to work for any employer in the U.S.; employment visa sponsorship is unavailable, including CPT/OPT • Current FINRA Series 7 and Series 24 registrations • Experience with NetX360 and Pershing • Direct experience with stock plan administration, equity award processing, stock option exercises, trading, and money movement • Experience performing operational quality assurance, reconciliations, transaction research, or quality control within a brokerage or financial services environment

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