Stock Plan Services Quality Specialist

Empower

. Perform quality reviews of back-office operational processing functions supporting Stock Plan Services .

Posted 10/16/2026full-timeRemote • United StatesMid-LevelSenior💰 $65,600 - $92,675 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in operational quality assurance, transaction research, and stock plan administration, ensuring compliance with FINRA and SEC regulations. Proficient in identifying process improvements and training team members to uphold quality standards in brokerage services.

Highest-signal resume keywords

FINRA Series 7 RegistrationFINRA Series 24 RegistrationOperational Quality AssuranceStock Plan AdministrationTransaction Research

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Quality Control StandardsOperational ProcessingData VerificationReconciliationsProcess ImprovementEscalated Issue ResolutionAttention to DetailFinancial Services ExperienceBrokerage OperationsStock Option Exercises

Soft Skills

Strong CommunicationOrganizational SkillsProblem-Solving SkillsCollaborationJudgment

Tools & Technologies

Microsoft OfficeExcelWordSharePointNetX360Pershing

Certifications & Qualifications

FINRA Fingerprinting

Industry Keywords

Stock Plan ServicesBrokerage ServicesEquity Award ProcessingTradingMoney MovementComplianceAML ConcernsRegulatory RequestsOperational IssuesService-Level Standards

About the role

Key responsibilities & impact

Perform quality reviews of back-office operational processing functions supporting Stock Plan Services
Administer established quality control standards
Ensure departmental quality, accuracy, productivity, and service-level standards are met
Review and approve new account enrollments, stock and option award exercises, trading, money movement, and other daily operational transactions
Review and approve pending transactions and escalated processing items
Verify customer, account, transaction, and operational data across multiple systems
Perform post-transaction quality assurance, research, reconciliations, and reprocessing
Identify processing errors, control gaps, and operational issues and communicate findings to leadership and team members
Recommend process improvements for efficiency, quality controls, accuracy, and risk management
Research and resolve escalated and complex service and operational issues
Train and mentor team members on operational procedures, processing requirements, and quality standards
Support responses to FINRA, SEC, Internal Audit, and other regulatory or compliance requests
Monitor trading and security reviews, identify process and procedural gaps, and recognize AML concerns and potential fraudulent account activity
Collaborate with Operations, Service, Compliance, and other business partners
Communicate effectively with external vendors as needed

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
3+ years of experience in brokerage services, brokerage operations, or stock plan services
FINRA Series 7 and Series 24 registrations required
FINRA fingerprinting required
Proficiency with Microsoft Office applications, including Excel, Word, and SharePoint
Strong communication, organizational, and problem-solving skills with exceptional attention to detail
Ability to work independently, exercise sound judgment, and maintain a high level of accuracy
Ability to collaborate effectively across teams and organizational levels
Ability to coordinate and complete multiple tasks within assigned deadlines, including same-day processing requirements
Applicants must be authorized to work for any employer in the U.S.; employment visa sponsorship is unavailable, including CPT/OPT
Current FINRA Series 7 and Series 24 registrations
Experience with NetX360 and Pershing
Direct experience with stock plan administration, equity award processing, stock option exercises, trading, and money movement
Experience performing operational quality assurance, reconciliations, transaction research, or quality control within a brokerage or financial services environment

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) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play
Bonus program opportunity for non-sales positions
Flexible work environment
Other necessary computer equipment provided
Reliable high-speed internet and home workspace required for remote work