Senior Stock Plan Services Specialist

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them.

Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.

As the Senior Stock Plan Service Specialist, you will oversee the design and execution of 10b5-1 trading plans, manage regulatory filings, and provide expert consultation on SEC regulations and compliance protocols. This role requires precision, timeliness, and a client-first mindset while also mentoring junior staff and driving continuous improvement across equity plan services.

What you will do

Design, implement, and manage compliant Rule 10b5-1 trading plans

Oversee execution of stock trades while ensuring compliance with SEC timing and pricing requirements

Coordinate Section 16 and Rule 144 filings, including Forms 3, 4, 5, and 144

Serve as subject matter expert on insider trading policies and EDGAR Next compliance

Partner with legal, compliance, finance, HR, and plan sponsors to ensure accuracy and alignment

Provide transparent consultation and reporting for executive clients and regulators

Mentor junior traders and compliance analysts on best practices in execution and reporting

What you will bring

Bachelor’s degree in Finance, Business Administration, or related field; MBA, CEP, or JD preferred

5–8 years of experience in equity trading, compliance, or executive services with 10b5-1 plan expertise

Active FINRA Series 7 and NASAA Series 63; fingerprinting required

Strong knowledge of Rule 10b5-1, Rule 144, Section 16, and EDGAR / EDGAR Next protocols

Proven ability to deliver error-free execution with strong compliance ethics

Analytical and quantitative skills with market awareness and regulatory insight

Excellent written and verbal communication skills with executive-level presentation experience

What will set you apart

Experience managing EDGAR Next enrollments, Form ID filings, and CCC / passphrase credentials

Proven ability to advise executives on insider trading risks and trading best practices

Track record of delivering compliance excellence with zero-error tolerance

Ability to implement process improvements leveraging regulatory technology and market insights

Comfort working with directors, officers, outside counsel, and regulators

High proficiency with CRM, SharePoint, equity trading platforms, and reporting tools

Strong leadership and mentoring skills with commitment to continuous improvement

#PJPW

#LI-Remote

• Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT / OPT.

What we offer you

We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.

Base Salary Range

$85,600.00 - $120,925.00

The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and / or skill level and will be finalized at the time of offer.

Equal opportunity employer

We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age (40 and over), race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.

Job Posting End Date at 12 : 01 am on :

10-30-2025

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Workplace Flexibility : Remote - Nationwide