Stock Plan Services Quality Specialist

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 Stock Plan Services Quality Specialist performs quality reviews of back-office operational processing functions supporting stock plan services. This role helps ensure the accurate and timely processing of customer requests, stock plan transactions, and administrative activities while maintaining compliance with internal policies and regulatory requirements.

This role partners with Operations, Service, Compliance, and other business partners to improve processes, manage risk, and support an efficient and controlled processing environment. Accountable for daily approvals and escalations, ensuring department quality and time standards are met, as well as post transaction quality assurance, research, reconciliations and reprocessing functions.  

• →Perform quality reviews of back-office operational processing functions supporting Stock Plan Services and administer established quality control standards.
• →Ensure departmental quality, accuracy, productivity, and service-level standards are met.
• →Review and approve Stock Plan Services processing activities, including 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 in accordance with established policies, procedures, and control requirements.
• →Verify the accuracy and completeness of customer, account, transaction, and operational data across multiple systems.
• →Perform post-transaction quality assurance, research, reconciliations, and reprocessing activities.
• →Identify trends in processing errors, control gaps, and operational issues and communicate findings to leadership and team members.
• →Recommend process improvements that enhance operational 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.
• →Mitigate risk to the Stock Plan Services business by monitoring trading and security reviews, identifying process and procedural gaps, and recognizing red flags, anti-money laundering (AML) concerns, and potential fraudulent account activity.
• →Collaborate with Operations, Service, Compliance, and other business partners to support an efficient and controlled processing environment.
• →Communicate effectively with external vendors as needed.

• →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

• 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

***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.***