Lead Stock Plan Services

Overview

This role serves as the operational lead and subject matter expert for Stock Plan Services, providing advanced expertise in equity compensation operations, brokerage processes, securities regulations, and stock plan transaction workflows. The position manages complex operational activities, escalated issues, workflow coordination, risk mitigation, and continuous process improvement.

Acting as a non-managerial operational lead, this role provides technical guidance and influences operational outcomes without direct people management responsibilities. Collaboration with Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, Finance, Product, and client-facing teams supports accurate, compliant, and efficient stock plan operations.

Responsibilities

• Serve as the operational lead and subject matter expert for Stock Plan Services, providing technical guidance across equity compensation programs and brokerage operations
• Coordinate daily operational workflows, establish processing priorities, and partner with leadership to balance workloads and meet service-level commitments
• Perform Principal Review and acceptance of new brokerage account applications in accordance with applicable regulatory requirements, internal policies, and assigned approval authority
• Independently process, review, and approve complex stock plan transactions, reconciliations, operational exceptions, and participant account activity within assigned authority
• Lead resolution of complex operational escalations through root cause analysis, corrective actions, and sustainable process improvements
• Provide technical guidance, coaching, and mentoring to associates while serving as the primary escalation resource for operational questions
• Support equity compensation programs, including Restricted Stock Units (RSUs), stock options, Employee Stock Purchase Plans (ESPPs), Rule 10b5-1 trading plans, executive equity programs, and related stock plan events
• Coordinate operational readiness for new products, regulatory changes, technology enhancements, and client implementations
• Identify operational risks, recommend internal control enhancements, and support compliance with securities regulations, internal policies, and audit requirements
• Lead continuous improvement initiatives involving workflow optimization, automation opportunities, operational efficiency, and process standardization
• Coordinate cross-functional efforts with Operations, Compliance, Trade Desk, Payroll, Legal, Technology, Finance, Product, and Service teams to resolve operational issues and implement business initiatives
• Support leadership with quality assurance reviews, audit preparation, operational reporting, key performance indicators (KPIs), trend analysis, and performance monitoring
• Develop and maintain standard operating procedures (SOPs), job aids, training materials, and operational process documentation to support consistency and scalability
• Facilitate knowledge sharing, onboarding, and associate training to promote operational consistency and continuous improvement
• Perform other duties as assigned

Requirements

• Bachelor’s degree in Business, Finance, or a related field; or, in lieu of a degree, four additional years of financial services experience
• Minimum of six years of financial services experience
• Experience supporting Stock Plan Services, brokerage operations, equity compensation programs, or securities operations
• Active FINRA Series 7 registration required
• Active FINRA Series 24 registration required
• FINRA Fingerprinting required
• Advanced knowledge of stock plan administration, brokerage operations, securities regulations, equity compensation programs, and operational controls
• Demonstrated experience with operational risk management, internal controls, regulatory compliance, audit support, and process governance
• Experience identifying and implementing operational improvements, workflow optimization, and process standardization
• Experience leading cross-functional operational initiatives and coordinating activities across multiple business partners
• Strong analytical, organizational, communication, leadership, and problem-solving skills
• Demonstrated ability to influence without direct authority, coordinate cross-functional workflows, and achieve operational objectives
• Ability to manage multiple priorities while maintaining accuracy, regulatory compliance, operational quality, and service standards

Preferred Qualifications

• Experience using Pershing NetX360 for brokerage account servicing, operational processing, or transaction workflows
• Certified Equity Professional (CEP) designation
• Experience supporting complex executive equity compensation transactions, including Rule 10b5-1 trading plans
• Experience participating in stock plan platform enhancements, operational automation, or technology implementation initiatives
• Experience developing operational metrics, dashboards, or reporting used to improve transaction quality and service delivery

Compensation & Benefits

• Base Salary Range: $72,200.00 - $101,975.00
• Non-sales positions have the opportunity to participate in a bonus program.
• Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance.
• Actual compensation offered may vary based on geographic location, work experience, education, licensure requirements, and/or skill level, and will be finalized at the time of offer.

Benefits include:

• Medical, dental, vision, and life insurance
• Retirement savings: 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/year
• Business-casual environment (option to wear jeans)
• Generous paid time off upon hire: 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) open to all employees

Location

Remote and hybrid roles may require reliable high-speed internet with a wired connection, and a suitable place in the home to work with limited disruption. Connectivity must be provided by a fiber, cable, or DSL internet service. Other necessary computer equipment will be provided. The employee may be required to work in the office if the home work environment and required internet connection are not adequate.

Eligibility & Compliance

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

Equal Opportunity

The employer is an equal opportunity employer with a commitment to diversity and encourages applications from all qualified individuals.

Application Deadline

Job posting end date: 10-22-2026 at 12:01 am.