Stock Plan Services Associate

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

📋 Description

• Establish and manage Rule 10b5-1 trading plans in compliance with Rule 10b5-1(c), which includes cooling-off periods, requirements for single-trade plans, and good-faith certifications.

• Collaborate with executive servicing teams, issuers, plan sponsors, and stakeholders on insider trading policies, documentation, and pre-clearance procedures.

• Execute and oversee transactions in line with the established Rule 10b5-1 trading plans.

• Coordinate activities related to Rule 144 and Form 144 filings for insider transactions.

• Monitor cumulative trading activities concerning Rule 144(e) volume limits and facilitate the timely submission of Form 144.

• Implement SEC regulations and EDGAR/EDGAR Next requirements in trading and reporting functions.

• Act as a liaison among executive participants and internal legal, trading, operations, and executive servicing teams.

• Assist in client consultations by preparing information on trading plans, holdings, transactions, and compliance.

• Generate and present reports on holdings, trading activities, and compliance status.

• Recognize opportunities to enhance operational efficiency through improved processes and regulatory technology.

• Partner with internal and external stakeholders on EDGAR Next readiness initiatives.

• Undertake additional responsibilities as assigned.

⛳️ Requirements

• Bachelor’s degree in Finance, Business Administration, or a related discipline, accompanied by at least three years of relevant experience in equity trading, compliance, executive services, or a similar financial services role; alternatively, a minimum of seven years of relevant experience is required without a bachelor's degree.

• Possession of active FINRA Series 7 and NASAA Series 63 registrations/licenses.

• Completion of FINRA Fingerprinting is mandatory.

• Familiarity with Rule 10b5-1, Rule 144, Section 16, Form 144, and compliance requirements for EDGAR/EDGAR Next.

• Strong quantitative, analytical, and research abilities with meticulous attention to detail.

• Exceptional written and verbal communication skills.

• Proven integrity and sound judgment in managing material non-public information (MNPI).

• Capability to establish and sustain effective professional relationships with executives, issuers/employers, plan sponsors, and internal partners.

• Proficiency in CRM systems, SharePoint, equity trading platforms, Microsoft Excel, and reporting tools.

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

🏝️ Benefits

• Medical, dental, vision, and life insurance.

• Retirement savings through a 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contributions, and a wide array of investment options.

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

• A business-casual work environment that allows for wearing jeans.

• Generous paid time off upon hire, which includes a paid time off program, ten paid company holidays, and three floating holidays each calendar year.

• Paid volunteer time — 16 hours each calendar year.

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

• Business Resource Groups (BRGs) available to all employees.

• Opportunity for a bonus program for non-sales positions.

• Reliable high-speed internet with a wired connection and a suitable home workspace for remote roles.

• Necessary computer equipment provided.