Senior Manager Stock Plan Participant Services

Empower•Overland Park, KS

5d•$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, high-quality support across equity compensation plan types. The role supervises Equity Compensation Consultants in meeting individual and team goals, drives operational excellence, maintains regulatory compliance, and delivers an exceptional participant experience through coaching, process execution, and service delivery. Working closely with the Director of Stock Plan Participant Services and cross-functional partners, the Senior Manager ensures service standards are consistently achieved, operational procedures are effectively executed, business goals are met, and the team is prepared to support participants with trading, equity education, and stock plan transactions.

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 meet 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 and Series 24 registrations, or Series 7 and both Series 9 and Series 10 in lieu of Series 24, plus Series 65 or Series 66 registration at the time of hire.
Certified Equity Professional (CEP) designation required within corporate-approved timelines.
FINRA fingerprinting required.
Applicants 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

2 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 with 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 cross-functionally to implement operational enhancements, technology solutions, and participant service initiatives.

Responsibilities

Lead, coach, and develop Equity Compensation Consultants to achieve individual and team business goals through participant service and equity compensation consultations.
Oversee daily team operations and ensure accurate, timely, high-quality 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 meet operational efficiency goals and service standards.
Serve as the primary escalation point for complex participant inquiries, trading-related 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 for service levels, quality, productivity, participant satisfaction, and operational accuracy.
Identify operational 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 activities, 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 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.
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.
Paid parental leave.
Paid short- and long-term disability.
Family and Medical Leave (FMLA).
Bonus program opportunity for non-sales positions.
Business Resource Groups open to all.