Senior Stock Plan Services Associate

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

📋 Description

• Act as a subject matter expert in Stock Plan Services operations, equity compensation processes, brokerage activities, and securities transaction workflows.

• Execute Principal Review and approval of new account applications in line with policies, procedures, and regulatory guidelines.

• Manage and assess intricate stock plan transactions, reconciliations, operational exceptions, and participant account activities.

• Organize workload across operational functions to satisfy service-level commitments.

• Offer technical expertise on complex stock plan processes and elevated operational concerns.

• Investigate, resolve, review, and authorize complex operational exceptions.

• Assist in the operational processing of RSUs, stock options, ESPPs, Rule 10b5-1 trading programs, and associated stock plan activities.

• Propose workflow efficiencies, operational enhancements, control improvements, and risk-mitigation strategies.

• Support team leadership through transaction assessments, audits, reporting, quality initiatives, and operational readiness activities.

• Apply regulatory and procedural updates within operational processes while upholding controls.

• Collaborate with Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, and client-facing teams.

• Guide associates, assist in training initiatives, and advocate for operational best practices.

• Carry out additional responsibilities as assigned.

⛳️ Requirements

• Bachelor’s degree in Business, Finance, or a related discipline; or four additional years of financial services experience in place of a degree.

• At least four years of experience in financial services.

• FINRA Series 7 registration is mandatory.

• FINRA Series 24 registration required within corporate-established timelines.

• Preference given to fully licensed candidates.

• FINRA fingerprinting is a requirement.

• Advanced understanding of stock plan administration, brokerage operations, equity compensation programs, and securities transaction processing.

• Experience in supporting operational controls, audits, compliance activities, and risk management.

• Strong analytical, organizational, communication, and problem-solving capabilities.

• Ability to influence others without direct authority.

• Applicants must be authorized to work for any employer in the U.S.; employment visa sponsorship is not available.

• Reliable high-speed internet with a wired connection and a minimally disruptive home workspace is required for remote work.

🏝️ 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 wide investment lineup.

• Tuition reimbursement up to $5,250 per year.

• Business-casual work environment that allows 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, short- and long-term disability, and Family and Medical Leave (FMLA).

• Business Resource Groups (BRGs) that promote inclusion and collaboration.

• Non-sales roles may participate in a bonus program.

• Necessary computer equipment will be provided.