Senior Stock Plan Services Associate
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 to teammates and internal business partners, 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. The position also supports operational processing for equity compensation programs, including RSUs, stock options, ESPPs, Rule 10b5-1 trading programs, and related stock plan events. Applicants must be authorized to work for any employer in the U.S.; visa sponsorship, including CPT/OPT, is not available. Remote and hybrid associates must provide reliable high-speed internet with a wired connection and a suitable home workspace. Other necessary computer equipment will be provided. Associates may be required to work in the office if their home work environment or internet connection is inadequate.
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 within corporate-established timelines.
- 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
- Fully licensed candidates are preferred.
- 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 in Stock Plan Services operations, equity compensation processes, brokerage operations, and securities transaction workflows.
- Perform Principal Review and accept new account applications according to 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 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 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 of 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 associates.
- Non-sales positions have the opportunity to participate in a bonus program.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
