Stock Plan Services Quality Specialist at Empower

About Empower

Our vision for the future is built on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We foster a flexible work environment and promote fluid career paths. We strongly encourage and celebrate internal mobility. At Empower, we recognize the importance of purpose, well-being, and work-life balance. Within our communities, we strive to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them. Empower yourself by charting your own path and growing your career while helping more customers achieve financial freedom.

Role Overview: Stock Plan Services Quality Specialist

The Stock Plan Services Quality Specialist is responsible for performing quality reviews of back-office operational processing functions that support stock plan services. This crucial role ensures that customer requests, stock plan transactions, and administrative activities are processed accurately and in a timely manner, while strictly adhering to internal policies and regulatory requirements. The specialist partners with various business units, including Operations, Service, and Compliance, to enhance processes, manage risk, and maintain an efficient and controlled processing environment. Key duties include daily approvals and escalations to meet departmental quality and time standards, alongside conducting post-transaction quality assurance, research, reconciliations, and reprocessing functions.

What You Will Do

• Perform quality reviews of back-office operational processing functions supporting Stock Plan Services and administer established quality control standards.
• Ensure departmental quality, accuracy, productivity, and service level standards are met.
• Review and approve Stock Plan Services processing activities, including new account enrollments, stock and option award exercises, trading, money movement, and other daily operational transactions.
• Review and approve pending transactions and escalated processing items in accordance with established policies, procedures, and control requirements.
• Verify the accuracy and completeness of customer, account, transaction, and operational data across multiple systems.
• Conduct post-transaction quality assurance, research, reconciliations, and reprocessing activities.
• Identify trends in processing errors, control gaps, and operational issues, and communicate these findings to leadership and team members.
• Recommend process improvements that enhance operational efficiency, quality controls, accuracy, and risk management.
• Research and resolve escalated and complex service and operational issues.
• Train and mentor team members on operational procedures, processing requirements, and quality standards.
• Support responses to FINRA, SEC, Internal Audit, and other regulatory or compliance requests.
• Mitigate risk to the Stock Plan Services business by monitoring trading and security reviews, identifying process and procedural gaps, and recognizing red flags, anti-money laundering (AML) concerns, and potential fraudulent account activity.
• Collaborate with Operations, Service, Compliance, and other business partners to support an efficient and controlled processing environment.
• Communicate effectively with external vendors as needed.

What You Will Bring

• Bachelor’s degree in Business, Finance, or a related field; four additional years of financial services experience will be accepted in lieu of a degree.
• Three or more years of experience within brokerage services, brokerage operations, or stock plan services.
• FINRA Series 7 and Series 24 registrations are required.
• FINRA fingerprinting is required.
• Proficiency with Microsoft Office applications, including Excel, Word, and SharePoint.
• Strong communication, organizational, and problem-solving skills with exceptional attention to detail.
• Ability to work independently, exercise sound judgment, and maintain a high level of accuracy.
• Capacity to collaborate effectively across teams and organizational levels.
• Ability to coordinate and complete multiple tasks within assigned deadlines, including same-day processing requirements.

What Will Set You Apart

• Current FINRA Series 7 and Series 24 registrations.
• Experience with NetX360 and Pershing.
• Direct experience with stock plan administration, equity award processing, stock option exercises, trading, and money movement.
• Experience performing operational quality assurance, reconciliations, transaction research, or quality control within a brokerage or financial services environment.

Note: Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.

Compensation and Benefits

We offer a diverse and inclusive set of benefits designed to support healthy, balanced lives and promote optimal work performance. We provide:

• 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, including the option to wear jeans.
• Generous paid time off upon hire, which includes a paid time off program plus ten paid company holidays and three floating holidays each calendar year.
• Paid volunteer time, amounting to 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) that promote inclusion and collaboration.

Salary Range: The base salary range for this position is $65,600.00 to $92,675.00. This range reflects the typical minimum to maximum base salary. Non-sales roles have the potential to participate in a bonus program, while sales roles are eligible for sales incentives, potentially leading to total compensation that exceeds the base salary based on individual performance. Actual compensation may vary based on geographic location, work experience, education, licensure requirements, and/or skill level, and will be finalized at the time of offer.

We are an equal opportunity employer committed to diversity. All qualified applicants will receive consideration for employment without regard to age, race, color, national origin, ancestry, sex, sexual orientation, gender, 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.

Work Environment Note: For remote and hybrid positions, candidates must provide reliable high-speed internet with a wired connection and a suitable workspace at home with limited disruption. Connectivity must come from a fiber, cable, or DSL internet service provider. Necessary computer equipment will be provided. You may be required to work in the office if you lack an adequate home work environment or internet connection.