Senior Stock Plan Services Associate

Empower

Senior Stock Plan Services Associate supporting Empower’s equity compensation and brokerage operations. Processing complex transactions, resolving escalations, and strengthening controls for participant accounts.

Posted 8/12/2026full-timeRemote • 🇺🇸 United StatesSenior💰 $65,600 - $92,675 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates advanced knowledge of stock plan administration, equity compensation processes, and brokerage operations while ensuring compliance with regulatory requirements. Capable of mentoring associates and implementing operational improvements to enhance efficiency and control.

Highest-signal resume keywords

FINRA Series 7 RegistrationFINRA Series 24 RegistrationStock Plan AdministrationOperational ControlsEquity Compensation Programs

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Securities Transaction ProcessingComplex Stock Plan TransactionsOperational Exception ReviewReconciliationAnalytical Skills

Soft Skills

Organizational SkillsCommunication SkillsProblem-Solving SkillsInfluencing Skills

Certifications & Qualifications

FINRA Fingerprinting

Industry Keywords

Financial ServicesEquity CompensationBrokerage OperationsRisk ManagementCompliance Activities

About the role

Key responsibilities & impact

Serve as a subject matter expert across Stock Plan Services operations, equity compensation processes, brokerage operations, and securities transaction workflows
Perform Principal Review and acceptance of new account applications in accordance with policies, procedures, and regulatory requirements
Process and review complex stock plan transactions, reconciliations, operational exceptions, and participant account activity
Prioritize workload across operational functions to meet service-level commitments
Provide technical guidance on complex stock plan processes and escalated operational issues
Research, resolve, review, and approve complex operational exceptions
Support operational processing for RSUs, stock options, ESPPs, Rule 10b5-1 trading programs, and related stock plan events
Recommend workflow efficiencies, operational improvements, control enhancements, and risk-mitigation opportunities
Support team leadership through transaction reviews, audits, reporting, quality initiatives, and operational-readiness activities
Implement regulatory and procedural changes within operational processes while maintaining controls
Partner with Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, and client-facing teams
Mentor associates, support training efforts, and promote operational best practices
Perform other duties as assigned

Requirements

What you’ll need

Bachelor's degree in Business, Finance, or a related field; in lieu of a degree, four additional years of financial services experience
Minimum of four years of financial services experience
FINRA Series 7 registration required
FINRA Series 24 registration required within corporate-established timelines
Fully licensed candidates are preferred
FINRA fingerprinting required
Advanced knowledge of stock plan administration, brokerage operations, equity compensation programs, and securities transaction processing
Experience supporting operational controls, audits, compliance activities, and risk management
Strong analytical, organizational, communication, and problem-solving skills
Ability to influence without direct authority
Applicants must be authorized to work for any employer in the U.S.; employment visa sponsorship is unavailable
Reliable high-speed internet with a wired connection and a minimally disruptive home workspace required for remote work

Benefits

Comp & perks

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) facilitating inclusion and collaboration
Non-sales positions have the opportunity to participate in a bonus program
Other necessary computer equipment will be provided