Stock Plan Services Associate
Core
Support day-to-day operations of Empower's stock plan services platform by processing transactions, resolving operational issues, and ensuring accurate, compliant service for clients and participants.
Role type
Stock Plan Services Associate (Financial Operations)
Builds
Stock plan administration and equity transaction processing for client participants
Domain
Financial Services / Equity Trading Operations
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Stock plan administration, Equity trading operations, Brokerage operations, Transaction processing, Trade reconciliation, Account management, Regulatory compliance (10b5-1), FINRA Series 7 registration, Microsoft Office (Excel, Word, SharePoint)
Preferred skills
Options trading knowledge, Pershing NetX360 experience, Trading operations support, Process improvement, Operational judgment
Technologies
Pershing NetX360, DWAC, DTC, Microsoft Office
Responsibilities
Process stock plan transactions including plan setup, participant account reviews, reconciliations, and issue resolution; Support equity transactions related to RSU vestings, ESPP events, option exercises, and 10b5-1 instructions; Initiate and monitor DWAC and DTC transfers while coordinating with clearing firms; Reconcile trade executions, allocations, and participant accounts across multiple platforms; Research and resolve operational, trading, and account-related exceptions; Partner with internal stakeholders to support stock plan trading activities and operational readiness; Support audits, compliance requests, and daily service activities.
Seniority
Mid-level, hands-on IC