Senior Stock Plan Services Associate

Empower • Overland Park, KS

1d • $65,600 - $92,675 • Remote

About The Position

The Senior Stock Plan Services Associate performs advanced operational support for Stock Plan Services and serves as a subject matter expert in equity compensation operations, brokerage processes, and stock plan transaction workflows. The role independently processes complex transactions, resolves escalated operational issues, provides technical guidance, and supports continuous improvement and a strong control environment.

The associate partners with Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, and client-facing teams to support accurate stock plan activity, regulatory compliance, and a high-quality participant experience.

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 four years of financial services experience.
• FINRA Series 7 registration required.
• FINRA Series 24 registration required.
• FINRA fingerprinting required.
• Advanced knowledge of stock plan administration, brokerage operations, equity compensation programs, and securities transaction processing.
• Experience supporting operational controls, audits, compliance activities, and risk management.
• Strong analytical, organizational, communication, and problem-solving skills, with the ability to influence without direct authority.

Nice To Haves

• Experience supporting stock plan services, brokerage operations, equity compensation programs, or securities operations.
• Experience with Pershing NetX360.
• Certified Equity Professional (CEP) designation.
• Direct operational experience supporting RSUs, stock options, ESPPs, and Rule 10b5-1 trading programs.
• Experience resolving complex or escalated securities transaction and participant-account issues.

Responsibilities

• Serve as a subject matter expert across Stock Plan Services operations, equity compensation processes, brokerage operations, and securities transaction workflows.
• Perform Principal Review and accept new account applications in accordance with applicable policies, procedures, and regulatory requirements.
• Process and review complex stock plan transactions, reconciliations, operational exceptions, and participant account activity.
• Prioritize workload across operational functions to meet established service-level commitments.
• Provide technical guidance to associates and internal business partners on complex stock plan processes and escalated operational issues.
• Research, resolve, review, and approve complex operational exceptions within established policies, procedures, and authority levels.
• Support operational processing for equity compensation programs, including RSUs, stock options, ESPPs, Rule 10b5-1 trading programs, and related stock plan events.
• Evaluate and recommend workflow efficiencies, operational improvements, control enhancements, and risk-mitigation opportunities.
• Support team leadership through transaction reviews, audits, reporting, quality initiatives, and operational-readiness activities.
• Implement applicable regulatory and procedural changes within operational processes while maintaining appropriate controls.
• Partner with Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, and client-facing teams to resolve operational issues and support business initiatives.
• Mentor associates by sharing technical knowledge, supporting training efforts, and promoting operational best practices.
• 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 contributions, 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 open to all.

What This Job Offers

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