Executive Stock Plan Services Consultant

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 Executive Stock Plan Services Consultant, internally known as Executive Trading Specialist, provides specialized trading support and execution services for executive-level stock plan participants, with a primary focus on international executive participants. Operating within an inbound service environment, the Specialist executes complex executive equity transactions, supports Rule 10b5-1 trading plan administration, and delivers a high-touch participant experience.

The Executive Trading Specialist serves as a subject matter expert in executive trading execution and helps ensure transactions are completed accurately, efficiently, and in accordance with applicable SEC, FINRA, issuer, and internal requirements. The Specialist partners with Executive Equity Compensation Consultants, Executive Services, Trading, Operations, Compliance, Legal, Stock Plan Services, and other business partners to resolve complex transactions and provide seamless participant handoffs.

• →Respond to inbound calls and service requests from executive stock plan participants requiring specialized trading and transaction support.
• →Execute complex executive equity transactions, including stock option exercises, restricted stock sales, share transfers, and other equity-related transactions.
• →Provide guidance on transaction processes, documentation requirements, execution timelines, and trading procedures.
• →Monitor transactions through completion and proactively resolve execution and settlement issues.
• →Provide high-touch service to executive participants while maintaining established operational and service standards.
• →Support additional service queues during periods of increased volume or staffing needs.
• →Assist executive participants with the intake and setup of Rule 10b5-1 trading plan requests.
• →Explain Rule 10b5-1 plan processes, documentation requirements, and execution procedures.
• →Coordinate with Rule 10b5-1 Specialists and the Executive Trading team for ongoing plan servicing.
• →Complete and maintain documentation related to Rule 10b5-1 activities in accordance with regulatory and internal requirements.
• →Serve as a subject matter expert on executive participant trading transactions, operational procedures, and documentation requirements.
• →Coordinate with internal business partners to facilitate compliant trade execution, including transactions subject to insider trading restrictions and Rule 144 reporting requirements.
• →Remain current on operational and regulatory requirements affecting executive transactions and escalate issues according to established procedures.
• →Ensure executive trading activities comply with applicable FINRA, SEC, issuer, and internal supervisory requirements.
• →Maintain accurate records of participant interactions, trading instructions, approvals, and transaction documentation.
• →Identify and escalate operational, regulatory, and participant risks according to established procedures.
• →Participate in quality reviews, supervisory controls, audits, and compliance activities.
• →Partner with Executive Equity Compensation Consultants and the Executive Services team when participant needs extend beyond trading execution to equity education, financial planning coordination, or wealth management services, as applicable.
• →Collaborate with Executive Services, Stock Plan Services, Trading, Operations, Compliance, Legal, and issuer contacts to resolve complex participant and transaction issues.
• →Share technical expertise and best practices related to executive trading, Rule 10b5-1 administration, and operational procedures with internal partners.
• →Contribute to process improvement and departmental initiatives that enhance execution quality, operational efficiency, and executive participant service.

• →Bachelor's degree or equivalent experience.
• →5 years of experience in stock plan services, brokerage operations, securities trading, equity compensation, or financial services.
• →Strong knowledge of executive equity compensation plans, securities trading operations, Rule 10b5-1 trading plans, and insider trading requirements.
• →Experience supporting complex stock plan transactions in a regulated financial services environment.
• →Knowledge of executive equity transactions, including stock option exercises, restricted stock sales, share transfers, and related securities transactions.
• →Knowledge of applicable SEC and FINRA requirements related to executive securities transactions.
• →Proficiency with stock plan administration systems, brokerage platforms, CRM applications, and Microsoft Office.
• →FINRA Series 7 and Series 63 registrations required.
• →FINRA Fingerprinting required.
• →CEP® Level 1 certification required.

• Full Certified Equity Professional (CEP®) designation.
• Experience supporting executive-level or high-net-worth stock plan participants.
• Experience supporting international equity compensation or securities transactions.
• Experience with Rule 10b5-1 trading plan administration and Rule 144 requirements.

We are an equal opportunity employer with a commitment to diversity.  All individuals, regardless of personal characteristics, are encouraged to apply.  All qualified applicants will receive consideration for employment without regard to age, race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.