Senior Stock Plan Services Associate

Empower

. Serve as a subject matter expert across Stock Plan Services operations, equity compensation processes, brokerage operations, and securities transaction workflows .

Posted 11/10/2026full-timeRemote • United StatesSenior💰 $65,600 - $92,675 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates advanced knowledge of stock plan administration, equity compensation programs, and brokerage operations, with a strong focus on compliance, operational controls, and risk management. Proven ability to mentor associates and implement workflow efficiencies while maintaining regulatory standards.

Highest-signal resume keywords

FINRA Series 7 RegistrationFINRA Series 24 RegistrationCertified Equity Professional (CEP)Advanced Knowledge of Stock Plan AdministrationExperience with Pershing NetX360

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Stock Plan AdministrationEquity Compensation ProgramsSecurities Transaction ProcessingOperational ControlsRisk ManagementComplex Transaction ResolutionAudit SupportWorkflow Efficiency EvaluationOperational Exception ReviewAnalytical Skills

Soft Skills

Organizational SkillsCommunication SkillsProblem-Solving SkillsInfluencing SkillsMentoring Skills

Tools & Technologies

Pershing NetX360

Certifications & Qualifications

FINRA Fingerprinting

Industry Keywords

Stock Plan ServicesEquity CompensationBrokerage OperationsSecurities TransactionsRSUsStock OptionsESPPsRule 10b5-1 Trading ProgramsOperational Best PracticesCompliance 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 within established policies, procedures, and authority levels
Support equity compensation programs including RSUs, stock options, ESPPs, Rule 10b5-1 trading programs, and related stock plan events
Evaluate and 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 through technical knowledge sharing, training support, and promotion of 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 registrations required
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, with the ability to influence without direct authority
Experience supporting stock plan services, brokerage operations, equity compensation programs, or securities operations
Experience with Pershing NetX360
Certified Equity Professional (CEP) designation
Direct operational experience supporting RSUs, stock options, ESPPs, and Rule 10b5-1 trading programs
Experience resolving complex or escalated securities transaction and participant-account issues
Must be authorized to work for any employer in the U.S.; employment visa sponsorship unavailable, including CPT/OPT
Reliable high-speed internet with a wired connection and a suitable home workspace

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
Bonus program opportunity for non-sales positions
Other necessary computer equipment provided
Flexible work environment
Reliable high-speed internet and home workspace required for remote work