Senior Manager – Stock Plan Participant Services

This is a fully remote position, open to applicants in United States.

📋 Description

• Lead, mentor, and cultivate the skills of Equity Compensation Consultants

• Supervise the daily operations of Stock Plan Participant Services

• Conduct individual meetings, performance assessments, and coaching sessions

• Manage staffing, scheduling, workload allocation, and service coverage

• Act as the main escalation point for complex participant inquiries and service issues

• Oversee participant trading support and stock plan transactions, including Rule 10b5-1 and Rule 144 transactions

• Provide precise information regarding equity compensation plans, trading processes, transactions, and financial resources

• Monitor key performance indicators (KPIs) such as service levels, quality, productivity, participant satisfaction, and operational accuracy

• Identify inefficiencies and implement improvements in processes, technology upgrades, and service delivery solutions

• Maintain documentation, case management practices, supervisory controls, and operational procedures

• Ensure adherence to FINRA, SEC, and internal supervisory requirements

• Review operational activities, identify risks, and escalate concerns

• Support audits, compliance assessments, quality assurance, and supervisory control measures

• Collaborate with Workplace Stock Plan Services, Operations, Compliance, Trading, Technology, and other stakeholders

• Assist with onboarding, training, departmental initiatives, and the implementation of new products, procedures, and technology

• Provide leadership with insights on operations, participant trends, performance results, and recommendations

⛳️ Requirements

• Bachelor’s degree

• At least 5 years of experience in equity compensation, stock plan services, wealth management, or financial services

• Strong knowledge of equity compensation plans, stock plan administration, participant servicing, and brokerage operations

• Experience in overseeing operational workflows and service delivery in a regulated financial services environment

• Capability to coach, develop, and inspire teams to meet performance objectives

• Solid understanding of Rule 10b5-1 trading plans and Rule 144 transactions

• Active FINRA Series 7, Series 24 (or both Series 9 and Series 10 in lieu of Series 24), and Series 65 or Series 66 registrations at the time of hiring

• Certified Equity Professional (CEP) designation required within corporate-approved timelines

• FINRA Fingerprinting is mandatory

• Applicants must be authorized to work for any employer in the U.S.; no employment visa sponsorship or takeover of sponsorship, including CPT/OPT

• Reliable high-speed internet with a wired connection and a suitable home workspace

• Two or more years of people leadership or supervisory experience

• Experience leading participant service teams

• Experience supporting RSUs, ESPPs, stock options, and other equity-based awards

• Familiarity with stock plan administration platforms, brokerage trading systems, CRM tools, or case management applications

• Experience in supporting regulatory examinations, internal audits, supervisory controls, and risk management activities

• Proven experience partnering with cross-functional teams on operational and technology enhancements

🏝️ Benefits

• Medical, dental, vision, and life insurance

• 401(k) plan with generous company matching contributions (up to 6%)

• Financial advisory services

• Potential company discretionary contribution

• Broad investment options

• Tuition reimbursement up to $5,250 per year

• Business-casual environment with the option to wear jeans

• Generous paid time off upon hire

• Ten paid company holidays and three floating holidays each calendar year

• Paid volunteer time — 16 hours per calendar year

• Paid parental leave

• Paid short- and long-term disability

• Family and Medical Leave (FMLA)

• Business Resource Groups (BRGs)

• Flexible work environment

• Other necessary computer equipment provided

• Remote work with reliable high-speed wired internet and a suitable home workspace