Lead Stock Plan 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 Lead Stock Plan Services Associate serves as the operational lead and subject matter expert for Stock Plan Services, providing advanced expertise in equity compensation operations, brokerage processes, securities regulations, and stock plan transaction workflows. This role manages complex operational activities, escalated issues, workflow coordination, risk mitigation, and continuous process improvement.

The Lead Associate independently handles complex transactions and operational exceptions while coordinating daily team workflows, maintaining internal controls, and supporting consistent service delivery. Operating as a non-managerial operational lead, this role provides technical guidance and influences operational outcomes without direct people management responsibilities. The role collaborates with Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, Finance, Product, and client-facing teams to support accurate, compliant, and efficient stock plan operations.

• →Serve as the operational lead and subject matter expert for Stock Plan Services, providing technical guidance across equity compensation programs and brokerage operations
• →Coordinate daily operational workflows, establish processing priorities, and partner with leadership to balance workloads and meet service-level commitments
• →Perform Principal Review and acceptance of new brokerage account applications in accordance with applicable regulatory requirements, internal policies, and assigned approval authority
• →Independently process, review, and approve complex stock plan transactions, reconciliations, operational exceptions, and participant account activity within assigned authority
• →Lead the resolution of complex operational escalations through root cause analysis, corrective actions, and sustainable process improvements
• →Provide technical guidance, coaching, and mentoring to associates while serving as the primary escalation resource for operational questions
• →Support equity compensation programs, including Restricted Stock Units (RSUs), stock options, Employee Stock Purchase Plans (ESPPs), Rule 10b5-1 trading plans, executive equity programs, and related stock plan events
• →Coordinate operational readiness for new products, regulatory changes, technology enhancements, and client implementations
• →Identify operational risks, recommend internal control enhancements, and support compliance with securities regulations, internal policies, and audit requirements
• →Lead continuous improvement initiatives involving workflow optimization, automation opportunities, operational efficiency, and process standardization
• →Coordinate cross-functional efforts with Operations, Compliance, Trade Desk, Payroll, Legal, Technology, Finance, Product, and Service teams to resolve operational issues and implement business initiatives
• →Support leadership with quality assurance reviews, audit preparation, operational reporting, key performance indicators (KPIs), trend analysis, and performance monitoring
• →Develop and maintain standard operating procedures (SOPs), job aids, training materials, and operational process documentation to support consistency and scalability
• →Facilitate knowledge sharing, onboarding, and associate training to promote operational consistency and continuous improvement
• →Perform other duties as assigned

• →Bachelor's degree in Business, Finance, or a related field or, in lieu of a degree, four additional years of financial services experience
• →Minimum of six years of financial services experience
• →Experience supporting Stock Plan Services, brokerage operations, equity compensation programs, or securities operations
• →Active FINRA Series 7 registration required
• →Active FINRA Series 24 registration required
• →FINRA Fingerprinting required
• →Advanced knowledge of stock plan administration, brokerage operations, securities regulations, equity compensation programs, and operational controls
• →Demonstrated experience with operational risk management, internal controls, regulatory compliance, audit support, and process governance
• →Experience identifying and implementing operational improvements, workflow optimization, and process standardization
• →Experience leading cross-functional operational initiatives and coordinating activities across multiple business partners
• →Strong analytical, organizational, communication, leadership, and problem-solving skills
• →Demonstrated ability to influence without direct authority, coordinate cross-functional workflows, and achieve operational objectives
• →Ability to manage multiple priorities while maintaining accuracy, regulatory compliance, operational quality, and service standards

• Experience using Pershing NetX360 for brokerage account servicing, operational processing, or transaction workflows
• Certified Equity Professional (CEP) designation
• Experience supporting complex executive equity compensation transactions, including Rule 10b5-1 trading plans
• Experience participating in stock plan platform enhancements, operational automation, or technology implementation initiatives
• Experience developing operational metrics, dashboards, or reporting used to improve transaction quality and service delivery

***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.***