Senior Stock Plan Services Associate

Overview

This role performs advanced operational support activities for Stock Plan Services and serves as a subject matter expert (SME) in equity compensation operations, brokerage processes, and stock plan transaction workflows. The position independently processes complex transactions, resolves escalated operational issues, provides technical guidance to teammates and internal business partners, and supports operational excellence through continuous improvement and a strong control environment.

The role partners with Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, and client-facing teams to support accurate execution of stock plan activities, regulatory compliance, and a high-quality participant experience.

Responsibilities

• Serve as a subject matter expert across Stock Plan Services operations, equity compensation processes, brokerage operations, and securities transaction workflows.
• Perform Principal Review and acceptance of new account applications in accordance with applicable policies, procedures, and regulatory requirements.
• Process and review complex stock plan transactions, reconciliations, operational exceptions, and participant account activity.
• Prioritize workload across operational functions to meet established service-level commitments.
• Provide technical guidance to associates and internal business partners on complex stock plan processes and escalated operational issues.
• Research, resolve, review, and approve complex operational exceptions within established policies, procedures, and authority levels.
• Support operational processing for equity compensation programs, including restricted stock units (RSUs), stock options, employee stock purchase plans (ESPPs), Rule 10b5-1 trading programs, and related stock plan events.
• Evaluate and recommend workflow efficiencies, operational improvements, control enhancements, and risk-mitigation opportunities.
• Support team leadership through transaction reviews, audits, reporting, quality initiatives, and operational-readiness activities.
• Implement applicable regulatory and procedural changes within operational processes while maintaining appropriate controls.
• Partner with Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, and client-facing teams to resolve operational issues and support business initiatives.
• Mentor associates by sharing technical knowledge, supporting training efforts, and promoting operational best practices.
• Perform other duties as assigned.

Requirements

• Bachelor’s degree in Business, Finance, or a related field; in lieu of a degree, four additional years of financial services experience.
• Minimum of four years of financial services experience.
• FINRA Series 7 registration required.
• FINRA Series 24 registrations required within corporate established timelines. Fully licensed candidates are preferred.
• FINRA Fingerprinting required.
• Advanced knowledge of stock plan administration, brokerage operations, equity compensation programs, and securities transaction processing.
• Experience supporting operational controls, audits, compliance activities, and risk management.
• Strong analytical, organizational, communication, and problem-solving skills, with the ability to influence without direct authority.

Preferred Qualifications

• Experience supporting stock plan services, brokerage operations, equity compensation programs, or securities operations.
• Experience with Pershing NetX360.
• Certified Equity Professional (CEP) designation.
• Direct operational experience supporting RSUs, stock options, ESPPs, and Rule 10b5-1 trading programs.
• Experience resolving complex or escalated securities transaction and participant-account issues.

Compensation & Benefits

• Base salary range: $65,600.00 - $92,675.00
• Non-sales positions may have the opportunity to participate in a bonus program.
• Sales positions may be eligible for sales incentives, and in some instances a bonus plan, depending on individual performance.
• Tuition reimbursement up to $5,250/year.
• Medical, dental, vision and life insurance.
• Retirement savings: 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential discretionary company contribution, and a broad investment lineup.
• Business-casual environment (including 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: 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.

Location

• #LI-Remote

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

For remote and hybrid positions, reliable high-speed internet with a wired connection is required, along with a place in your home to work with limited disruption. Connectivity must be from an internet service provider that is fiber, cable or DSL. Other necessary computer equipment will be provided. The employer may require work in the office if the home work environment and required internet connection are not adequate.

Application Deadline

• Job Posting End Date: 10-28-2026 at 12:01 am