Senior Manager Stock Plan Participant Services at Empower

Role Summary

The Senior Manager Stock Plan Participant Services is tasked with leading the daily operations of Empower's Stock Plan Participant Services team. This role ensures that participants receive timely, accurate, and high-quality support across all equity compensation plan types. This leadership position is responsible for supervising Equity Compensation Consultants to meet individual and team business goals, driving operational excellence, maintaining strict regulatory compliance, and delivering an exceptional participant experience through effective coaching, process execution, and service delivery. Working closely with the Director of Stock Plan Participant Services and other cross-functional partners, the Senior Manager will ensure service standards are met, operational procedures are executed correctly, business goals are achieved, and the team is fully equipped to support participants with trading, equity education, and stock plan transactions.

Key Responsibilities

• Lead, coach, and develop a team of Equity Compensation Consultants to achieve individual and team business objectives through superior participant service and equity compensation consultations.
• Oversee the daily operations of the Stock Plan Participant Services team, ensuring accurate, timely, and high-quality support across various equity compensation plan types.
• Conduct regular one-on-one meetings, performance evaluations, and coaching sessions to foster employee engagement, professional growth, and accountability.
• Manage staffing, scheduling, workload distribution, and service coverage to maximize operational efficiency and meet established service standards.
• Act as the primary escalation point for complex participant inquiries, trading related issues, operational exceptions, and service concerns.
• Supervise participant trading support and stock plan transactions, including Rule 10b5-1 trading plans and Rule 144 transactions, strictly adhering to established procedures and regulatory requirements.
• Ensure participants receive accurate information concerning equity compensation plans, trading procedures, stock plan transactions, and available financial resources.
• Monitor key performance indicators (KPI) such as service levels, quality, productivity, participant satisfaction, and operational accuracy.
• Identify operational inefficiencies and partner with leadership to implement process improvements, technology enhancements, and service delivery solutions.
• Maintain accurate documentation, case management practices, supervisory controls, and adherence to established operational procedures.
• Ensure team compliance with Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), and internal supervisory requirements.
• Review operational activities, identify potential regulatory and operational risks, and escalate issues through appropriate channels.
• Support internal audits, compliance reviews, quality assurance activities, and supervisory control processes.
• Collaborate with Workplace Stock Plan Services, Operations, Compliance, Trading, Technology, and other cross-functional partners to resolve participant issues and support issuer expectations.
• Support associate onboarding, training, departmental initiatives, and implementation of new products, procedures, and technology.
• Provide leadership with operational insights, participant trends, performance results, and recommendations to improve service delivery.

Required Qualifications

• Bachelor's degree.
• A minimum of 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 overseeing operational workflows and service delivery within a regulated financial services environment.
• Demonstrated ability to coach, develop, and motivate teams to achieve individual and organizational performance goals.
• Strong understanding of complex equity compensation transactions, including Rule 10b5-1 trading plans and Rule 144 transactions.
• Active FINRA Series 7, Series 24 (or both Series 9 and Series 10 in place of Series 24), and Series 65 or Series 66 registrations at the time of hire.
• Certified Equity Professional (CEP) designation is required within corporate approved timelines.
• FINRA Fingerprinting is required.

Preferred Qualifications

• 2 or more years of people leadership or supervisory experience.
• Experience leading participant service teams within an equity compensation, stock plan administration, brokerage services, or wealth management organization.
• Experience supporting complex equity compensation plans, including restricted stock units (RSUs), employee stock purchase plans (ESPPs), stock options, and other equity based awards.
• Experience using stock plan administration platforms, brokerage trading systems, customer relationship management (CRM) tools, or case management applications.
• Demonstrated success improving operational performance, service quality, participant satisfaction, and team productivity through data driven coaching and process improvements.
• Experience supporting regulatory examinations, internal audits, supervisory controls, and risk management activities within a FINRA regulated brokerage environment.
• Experience partnering with cross-functional teams to implement operational enhancements, technology solutions, and participant service initiatives.

Compensation and Benefits

Base Salary Range: $96,100.00 to $135,700.00 (Note: Non-sales roles may be eligible for a bonus program).

We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance. Benefits include:

• 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 contribution, and a broad investment lineup.
• Tuition reimbursement up to $5,250 per year.
• A business casual environment with the option to wear 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 of 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) to facilitate inclusion and collaboration.

  Work Environment Notes

  Remote Work Requirements: For remote and hybrid positions, you must provide reliable high speed internet with a wired connection, as well as a dedicated place in your home to work without disruption. Reliable connectivity from an internet service provider offering fiber, cable, or DSL is required. Other necessary computer equipment will be provided. You may be required to work in the office if you do not have an adequate home work environment or the required internet connection.

  Equal Opportunity: We are an equal opportunity employer committed to diversity. All individuals are encouraged to apply regardless of age, race, color, national origin, ancestry, sex, sexual orientation, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.