Lead Stock Plan Services

Empower • Overland Park, KS

1d • $72,200 - $101,975

About The Position

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. The 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. This is a non-managerial operational lead role that provides technical guidance and influences operational outcomes without direct people management responsibilities. The position 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.

Requirements

• Bachelor's degree in Business, Finance, or a related field, or four additional years of financial services experience in lieu of a degree.
• 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.
• 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.
• Must be authorized to work for any employer in the U.S.; the employer is unable to sponsor or take over sponsorship of an employment visa, including CPT/OPT.

Nice To Haves

• 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.

Responsibilities

• 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 resolution of complex operational escalations through root cause analysis, corrective actions, and sustainable process improvements.
• Provide technical guidance, coaching, and mentoring to associates, and serve as the primary escalation resource for operational questions.
• Support equity compensation programs, including RSUs, stock options, 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, KPIs, trend analysis, and performance monitoring.
• Develop and maintain 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.

Benefits

• Medical, dental, vision, and life insurance.
• 401(k) plan with company matching contributions up to 6%, financial advisory services, potential company discretionary contribution, and a broad investment lineup.
• Tuition reimbursement up to $5,250 per year.
• Generous paid time off upon hire, including a paid time off program, ten paid company holidays, and three floating holidays each calendar year.
• Paid volunteer time: 16 hours per calendar year.
• Leave programs including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA).
• Business Resource Groups that facilitate inclusion and collaboration.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior