Stock Plan Operations Manager

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

📋 Description

• Act as the main operational relationship manager for self-administered Stock Plan Services clients while collaborating with Relationship Managers for full-service clients.

• Develop and sustain trustworthy relationships with corporate issuers, Treasurers, Plan Sponsors, and other stakeholders associated with the client.

• Participate in client meetings to offer expertise in brokerage operations related to stock plan processes, participant experience, and operational best practices.

• Counsel clients on various aspects including brokerage account setup, participant onboarding, transaction processing timelines, settlement procedures, and money movement.

• Provide operational advice regarding Rule 144 filings, SEC Forms 3, 4, and 5 reporting, as well as Rule 10b5-1 trading plan procedures.

• Simplify complex brokerage, operational, and regulatory topics into clear, client-centric communications.

• Organize operational readiness for vestings, enrollment phases, stock splits, spin-offs, mergers, acquisitions, and other corporate actions.

• Collaborate with Brokerage Operations, Client Services, Participant Services, Relationship Managers, and Stock Plan Services leadership to ensure operational readiness.

• Oversee operational preparedness, identify risks, and ensure prompt resolution of issues.

• Facilitate real-time communication among internal teams during high-volume or complex stock plan activities.

• Schedule, organize, and lead educational sessions for participants and issuers.

• Assist with enrollment events and educational initiatives.

• Deliver presentations to corporate clients and participants.

• Function as the primary brokerage operations resource for the Stock Plan Services organization.

• Discover opportunities to enhance operational processes, boost efficiency, reduce risk, and improve the client experience.

⛳️ Requirements

• Bachelor’s degree or a comparable combination of education and experience.

• Over 5 years of experience in brokerage operations, stock plan administration, equity compensation, relationship management, or financial services.

• Proven expertise in supporting brokerage operations for equity compensation plans.

• Strong familiarity with equity compensation plans, such as Restricted Stock Units (RSUs), Stock Options, and Employee Stock Purchase Plans (ESPPs).

• Solid understanding of brokerage account opening and servicing.

• Comprehensive knowledge of Rule 144 filing requirements.

• Extensive understanding of SEC Forms 3, 4, and 5 reporting support.

• Proficient knowledge of Rule 10b5-1 trading plans.

• Strong grasp of securities transaction processing, settlement, and money movement.

• FINRA Series 7 and 63 licenses or the capability to obtain them if permitted by business requirements.

• FINRA fingerprinting will be required upon hiring.

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

• Exceptional verbal communication, presentation, relationship management, and consulting abilities.

• Capability to convey complex operational and regulatory concepts to corporate clients and plan participants.

• Experience in supporting stock plans for publicly traded companies.

• Experience collaborating directly with corporate issuers, Treasurers, or Plan Sponsors.

• Background in presenting educational material to corporate clients and participants.

• Strong comprehension of stock plan administration systems and brokerage platforms.

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

🏝️ Benefits

• Medical, dental, vision, and life insurance coverage.

• Retirement savings plan – 401(k) with generous company matching contributions (up to 6%), financial advisory services, potential discretionary contributions from the company, and an extensive investment lineup.

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

• A business-casual atmosphere that allows for jeans.

• Generous paid time off upon hiring, including a paid time off program, ten paid company holidays, and three floating holidays each year.

• Paid volunteer hours — 16 hours each calendar year.

• Leave of absence programs, including paid parental leave, short- and long-term disability benefits, and Family and Medical Leave (FMLA).

• Business Resource Groups (BRGs) to promote inclusion and collaboration both internally and within the communities where we live, work, and play. BRGs are open to all employees.

• Opportunities for non-sales positions to participate in a bonus program.

• Dependable high-speed internet with a wired connection and a suitable home workspace; necessary computer equipment will be provided.