Stock Plan Services Associate

Empower

. Set up and administer Rule 10b5-1 trading plans in accordance with Rule 10b5-1(c), including cooling-off periods, single-trade plan requirements, and good-faith certifications .

Posted 10/8/2026full-timeRemote • United StatesMid-Level💰 $65,600 - $92,675 per yearWebsite

Core Competencies

Role fit

Core Competencies

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

Demonstrates expertise in administering Rule 10b5-1 trading plans and compliance with SEC regulations, including Rule 144 and Form 144 filing activities. Strong analytical and communication skills are essential for coordinating with stakeholders and improving operational efficiency.

Highest-signal resume keywords

Rule 10b5-1 AdministrationSEC Regulations ComplianceFINRA Series 7 LicenseQuantitative AnalysisCRM Systems Proficiency

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Equity TradingCompliance ManagementRegulatory ReportingAnalytical SkillsResearch Skills

Soft Skills

Attention to DetailWritten CommunicationVerbal CommunicationIntegrityRelationship Building

Tools & Technologies

SharePointMicrosoft ExcelEquity Trading PlatformsReporting Tools

Certifications & Qualifications

FINRA Series 7NASAA Series 63FINRA Fingerprinting

Industry Keywords

Rule 144Form 144EDGAR ComplianceMaterial Non-Public Information (MNPI)Executive Services

About the role

Key responsibilities & impact

Set up and administer Rule 10b5-1 trading plans in accordance with Rule 10b5-1(c), including cooling-off periods, single-trade plan requirements, and good-faith certifications
Coordinate with executive servicing teams, issuers, plan sponsors, and stakeholders regarding insider trading policies, documentation, and pre-clearance procedures
Execute and monitor transactions under established Rule 10b5-1 trading plans
Coordinate Rule 144 and Form 144 filing activities for insider transactions
Monitor aggregate trading activity for Rule 144(e) volume limitations and support timely Form 144 submission
Apply SEC regulations and EDGAR/EDGAR Next requirements to trading and reporting activities
Liaise among executive participants and internal legal, trading, operations, and executive servicing teams
Support client consultations by preparing trading plan, holdings, transaction, and compliance information
Prepare and deliver reports on holdings, trading activity, and compliance status
Identify opportunities to improve operational efficiency through enhanced processes and regulatory technology
Collaborate with internal and external partners on EDGAR Next readiness initiatives
Perform other duties as assigned

Requirements

What you’ll need

Bachelor’s degree in Finance, Business Administration, or a related field and a minimum of three years of relevant experience in equity trading, compliance, executive services, or a closely related financial services function; in lieu of a bachelor’s degree, a minimum of seven total years of relevant experience is required
Active FINRA Series 7 and NASAA Series 63 registrations/licenses
FINRA Fingerprinting required
Working knowledge of Rule 10b5-1, Rule 144, Section 16, Form 144, and EDGAR/EDGAR Next compliance requirements
Quantitative, analytical, and research skills with strong attention to detail
Excellent written and verbal communication skills
Demonstrated integrity and sound judgment when handling material non-public information (MNPI)
Ability to build and maintain effective professional relationships with executives, issuers/employers, plan sponsors, and internal partners
Proficiency with CRM systems, SharePoint, equity trading platforms, Microsoft Excel, and reporting tools
Applicants must be authorized to work for any employer in the U.S.; employment visa sponsorship is unavailable, including CPT/OPT

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) open to all
Bonus program opportunity for non-sales positions
Reliable high-speed internet with a wired connection and a suitable home workspace for remote positions
Necessary computer equipment provided