Stock Plan Operations Manager
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Job Description
Stock plan operations manager supporting Empower’s corporate clients with equity compensation brokerage operations. Coordinating transactions, regulatory processes, client education, and major stock plan events.
Responsibilities:
- Serve as the primary operational relationship manager for self-administered Stock Plan Services clients and partner with Relationship Managers supporting full-service clients
- Build and maintain trusted relationships with corporate issuers, Treasurers, Plan Sponsors, and other client stakeholders
- Attend client meetings and provide brokerage operations expertise on stock plan processes, participant experience, and operational best practices
- Advise clients on brokerage account opening, participant onboarding, transaction processing timelines, settlement processes, and money movement
- Provide operational guidance on Rule 144 filings, SEC Forms 3, 4, and 5 reporting support, and Rule 10b5-1 trading plan processes
- Translate complex brokerage, operational, and regulatory concepts into clear client-focused communications
- Coordinate operational readiness for vestings, enrollment periods, stock splits, spin-offs, mergers, acquisitions, and other corporate actions
- Partner with Brokerage Operations, Client Services, Participant Services, Relationship Managers, and Stock Plan Services leadership to ensure operational preparedness
- Monitor operational readiness, identify risks, and facilitate timely issue resolution
- Coordinate real-time communication across internal teams during high-volume or complex stock plan events
- Schedule, coordinate, and facilitate participant and issuer education sessions
- Support enrollment events and educational initiatives
- Deliver presentations to corporate clients and participants
- Serve as the central brokerage operations resource for the Stock Plan Services organization
- Identify opportunities to improve operational processes, increase efficiency, mitigate risk, and enhance the client experience
Requirements:
- Bachelor's degree or equivalent combination of education and experience
- 5+ years of experience in brokerage operations, stock plan administration, equity compensation, relationship management, or financial services
- Demonstrated expertise supporting brokerage operations for equity compensation plans
- Strong working knowledge of equity compensation plans, including Restricted Stock Units (RSUs), Stock Options, and Employee Stock Purchase Plans (ESPPs)
- Strong working knowledge of brokerage account opening and servicing
- Strong working knowledge of Rule 144 filing requirements
- Strong working knowledge of SEC Forms 3, 4, and 5 reporting support
- Strong working knowledge of Rule 10b5-1 trading plans
- Strong working knowledge of securities transaction processing, settlement, and money movement
- FINRA Series 7 and 63 licenses or the ability to obtain the licenses if permitted by business requirements
- FINRA fingerprinting required upon hire
- Applicants must be authorized to work for any employer in the U.S.; employment visa sponsorship is unavailable
- Excellent verbal communication, presentation, relationship management, and consulting skills
- Ability to communicate complex operational and regulatory concepts to corporate clients and plan participants
- Experience supporting publicly traded company stock plans
- Experience working directly with corporate issuers, Treasurers, or Plan Sponsors
- Experience presenting educational content to corporate clients and participants
- Strong understanding of stock plan administration systems and brokerage platforms
- Reliable high-speed internet with a wired connection and a suitable home workspace
Benefits:
- Medical, dental, vision and life insurance
- Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
- Tuition reimbursement up to $5,250/year
- Business-casual environment that includes the option to wear jeans
- Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
- Paid volunteer time — 16 hours per calendar year
- Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
- Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.
- Non-sales positions have the opportunity to participate in a bonus program.
- Reliable high-speed internet with a wired connection and a suitable home workspace; necessary computer equipment will be provided.
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