Stock Plan Services Quality Specialist

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

📋 Description

• Conduct quality assessments of back-office operational processing functions that support Stock Plan Services.

• Administer established quality control benchmarks.

• Ensure that departmental quality, accuracy, productivity, and service-level benchmarks are achieved.

• Review and authorize new account enrollments, stock and option award exercises, trading, money transfers, and other daily operational transactions.

• Examine and approve pending transactions and escalated processing issues.

• Verify customer, account, transaction, and operational data across various systems.

• Execute post-transaction quality assurance, research, reconciliations, and reprocessing.

• Identify processing errors, control weaknesses, and operational challenges while communicating findings to leadership and team members.

• Suggest process enhancements to improve efficiency, quality controls, accuracy, and risk management.

• Investigate and resolve escalated and complex service and operational challenges.

• Train and mentor team members on operational processes, processing requirements, and quality standards.

• Assist in responding to requests from FINRA, SEC, Internal Audit, and other regulatory or compliance bodies.

• Monitor trading and security reviews, identify process and procedural weaknesses, and detect AML concerns and potential fraudulent account activities.

• Collaborate with Operations, Service, Compliance, and other business partners.

• Communicate effectively with external vendors as necessary.

⛳️ Requirements

• Bachelor’s degree in Business, Finance, or a related field; alternatively, four additional years of financial services experience may substitute for a degree.

• A minimum of 3 years of experience in brokerage services, brokerage operations, or stock plan services.

• FINRA Series 7 and Series 24 registrations are required.

• FINRA fingerprinting is mandatory.

• Proficiency in Microsoft Office applications, including Excel, Word, and SharePoint.

• Strong communication, organizational, and problem-solving abilities with exceptional attention to detail.

• Capability to work independently, exercise sound judgment, and maintain a high level of accuracy.

• Ability to collaborate effectively across teams and organizational levels.

• Competence in coordinating and completing multiple tasks within assigned deadlines, including same-day processing requirements.

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

• Current FINRA Series 7 and Series 24 registrations are necessary.

• Experience with NetX360 and Pershing is preferred.

• Direct experience with stock plan administration, equity award processing, stock option exercises, trading, and money movement is required.

• Experience in operational quality assurance, reconciliations, transaction research, or quality control within a brokerage or financial services context is essential.

🏝️ Benefits

• Medical, dental, vision, and life insurance.

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

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

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

• Business Resource Groups (BRGs) – BRGs promote inclusion and collaboration across our business internally and in the communities where we live, work, and play.

• Bonus program opportunities for non-sales positions.

• Flexible work environment.

• Other necessary computer equipment will be provided.

• Reliable high-speed internet and a functional home workspace are required for remote work.