Senior Manager Stock Plan Participant Services

Empower • Overland Park, KS

4d • $96,100 - $135,700 • Remote

About The Position

The Senior Manager Stock Plan Participant Services leads the day-to-day operations of Empower’s Stock Plan Participant Services team, ensuring participants receive timely, accurate, and high-quality support across equity compensation plan types. The role supervises Equity Compensation Consultants in achieving individual and team business goals, drives operational excellence, maintains regulatory compliance, and delivers a strong participant experience through coaching, effective process execution, and service delivery.

Working with the Director of Stock Plan Participant Services and cross-functional partners, the Senior Manager ensures service standards are met, operating procedures are followed, business goals are achieved, and the team is prepared to support participants with trading, equity education, and stock plan transactions. The role also oversees staffing and service coverage, handles escalations, monitors performance and risk, supports audits and compliance reviews, and contributes to process, technology, and service improvements.

Requirements

• Bachelor’s degree.
• At least 5 years of experience in equity compensation, stock plan services, wealth management, or financial services.
• Strong knowledge of equity compensation plans, stock plan administration, participant servicing, and brokerage operations.
• Experience overseeing operational workflows and service delivery in a regulated financial services environment.
• Demonstrated ability to coach, develop, and motivate teams to achieve individual and organizational performance goals.
• Strong understanding of complex equity compensation transactions, including Rule 10b5-1 trading plans and Rule 144 transactions.
• Active FINRA Series 7, Series 24, or both Series 9 and Series 10 in lieu of Series 24, and Series 65 or Series 66 registrations at the time of hire.
• Certified Equity Professional (CEP) designation required within corporate-approved timelines.
• FINRA fingerprinting required.

Nice To Haves

• Two or more years of people leadership or supervisory experience.
• Experience leading participant service teams in equity compensation, stock plan administration, brokerage services, or wealth management.
• Experience supporting complex equity compensation plans, including RSUs, ESPPs, stock options, and other equity-based awards.
• Experience using stock plan administration platforms, brokerage trading systems, CRM tools, or case management applications.
• Demonstrated success improving operational performance, service quality, participant satisfaction, and team productivity through data-driven coaching and process improvements.
• Experience supporting regulatory examinations, internal audits, supervisory controls, and risk management in a FINRA-regulated brokerage environment.
• Experience partnering with cross-functional teams to implement operational enhancements, technology solutions, and participant service initiatives.

Responsibilities

• Lead, coach, and develop Equity Compensation Consultants to achieve individual and team goals through participant service and equity compensation consultations.
• Oversee daily team operations and ensure accurate, timely, high-quality participant support across equity compensation plan types.
• Conduct one-on-one meetings, performance evaluations, and coaching sessions to support engagement, professional development, and accountability.
• Manage staffing, scheduling, workload distribution, and service coverage to support efficiency and service standards.
• Serve as the primary escalation point for complex participant inquiries, trading issues, operational exceptions, and service concerns.
• Supervise participant trading support and stock plan transactions, including Rule 10b5-1 trading plans and Rule 144 transactions, in accordance with procedures and regulatory requirements.
• Ensure participants receive accurate information about equity compensation plans, trading procedures, stock plan transactions, and available financial resources.
• Monitor KPIs such as service levels, quality, productivity, participant satisfaction, and operational accuracy.
• Identify inefficiencies and collaborate with leadership on process improvements, technology enhancements, and service delivery solutions.
• Maintain accurate documentation, case management practices, supervisory controls, and adherence to operational procedures.
• Ensure team compliance with FINRA, SEC, and internal supervisory requirements.
• Review operational activity, identify potential regulatory and operational risks, and escalate issues through appropriate channels.
• Support internal audits, compliance reviews, quality assurance, and supervisory control processes.
• Collaborate with Workplace Stock Plan Services, Operations, Compliance, Trading, Technology, and other partners to resolve participant issues and support issuer expectations.
• Support associate onboarding, training, departmental initiatives, and implementation of new products, procedures, and technology.
• Provide leadership with operational insights, participant trends, performance results, and recommendations to improve service delivery.

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.
• Business-casual environment with the option to wear jeans.
• Paid time off upon hire, including a paid time off program, ten paid company holidays, and three floating holidays each calendar year.
• 16 hours of paid volunteer time per calendar year.
• Leave programs, including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA).
• Business Resource Groups open to all.

What This Job Offers

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