Senior Manager Stock Plan Participant Services

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 Senior Manager Stock Plan Participant Services is responsible for leading the day-to-day operations of Empower's Stock Plan Participant Services team, ensuring participants receive timely, accurate, and high-quality support across all equity compensation plan types. This leader is accountable for supervising Equity Compensation Consultants to achieve their individual and team business goals, driving operational excellence, maintaining regulatory compliance, and delivering an exceptional participant experience through effective coaching, process execution, and service delivery.

Working closely with the Director of Stock Plan Participant Services and cross-functional partners, the Senior Manager ensures service standards are consistently achieved, operational procedures are executed effectively, business goals are met, and the team is equipped to support participants through trading, equity education, and stock plan transactions.

• →Lead, coach, and develop a team of Equity Compensation Consultants to achieve individual and team business goals through exceptional participant service and equity compensation consultations.
• →Oversee daily operations of the Stock Plan Participant Services team, ensuring accurate, timely, and high-quality support across equity compensation plan types.
• →Conduct regular one-on-one meetings, performance evaluations, and coaching sessions to support employee engagement, professional development, and accountability.
• →Manage staffing, scheduling, workload distribution, and service coverage to achieve operational efficiency and established service standards.
• →Serve as the primary escalation point for complex participant inquiries, trading-related issues, operational exceptions, and service concerns.
• →Supervise participant trading support and stock plan transactions, including Rule 10b5-1 trading plans and Rule 144 transactions, in accordance with established procedures and regulatory requirements.
• →Ensure participants receive accurate information regarding equity compensation plans, trading procedures, stock plan transactions, and available financial resources.
• →Monitor key performance indicators (KPIs), including service levels, quality, productivity, participant satisfaction, and operational accuracy.
• →Identify operational inefficiencies and collaborate with leadership to implement process improvements, technology enhancements, and service delivery solutions.
• →Maintain accurate documentation, case management practices, supervisory controls, and adherence to established operational procedures.
• →Ensure team compliance with Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), and internal supervisory requirements.
• →Review operational activities, identify potential regulatory and operational risks, and escalate issues through appropriate channels.
• →Support internal audits, compliance reviews, quality assurance activities, and supervisory control processes.
• →Collaborate with Workplace Stock Plan Services, Operations, Compliance, Trading, Technology, and other cross-functional partners to resolve participant issues and support issuer expectations.
• →Support associate onboarding, training, departmental initiatives, and implementation of new products, procedures, and technology.
• →Provide leadership with operational insights, participant trends, performance results, and recommendations to improve service delivery.

• →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
• →Demonstrated ability to coach, develop, and motivate teams to achieve individual and organizational performance goals
• →Strong understanding of complex equity compensation transactions, including 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

• 2 or more years of people leadership or supervisory experience
• Experience leading participant service teams within an equity compensation, stock plan administration, brokerage services, or wealth management organization
• Experience supporting complex equity compensation plans, including restricted stock units (RSUs), employee stock purchase plans (ESPPs), stock options, and other equity-based awards
• Experience using stock plan administration platforms, brokerage trading systems, customer relationship management (CRM) tools, or case management applications
• Demonstrated success improving operational performance, service quality, participant satisfaction, and team productivity through data-driven coaching and process improvements
• Experience supporting regulatory examinations, internal audits, supervisory controls, and risk management activities within a FINRA-regulated brokerage environment
• Experience partnering with cross-functional teams to implement operational enhancements, technology solutions, and participant service initiatives

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***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.***