Stock Plan Corporate Services Operations Manager

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them.

Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.

The Stock Plan Corporate Services Operations Manager serves as the operational relationship manager and brokerage subject matter expert for Empower’s Stock Plan Services clients.

• Serve as the primary operational relationship manager for self-administered Stock Plan Services clients and partner with Relationship Managers supporting full-service clients
• Build and maintain trusted relationships with corporate issuers, Treasurers, Plan Sponsors, and other client stakeholders by serving as the primary operational contact for brokerage-related matters
• Attend client meetings to provide brokerage operations expertise and consult on stock plan processes, participant experience, and operational best practices
• Advise clients regarding brokerage account opening requirements, participant onboarding, stock plan transaction processing timelines, settlement processes, and money movement
• Provide operational guidance related to Rule 144 filings, SEC Forms 3, 4, and 5 reporting support, and high-level Rule 10b5-1 trading plan processes
• Translate complex brokerage, operational, and regulatory concepts into clear, client-focused communications
• Coordinate operational readiness for significant stock plan events, including vestings, enrollment periods, stock splits, spin-offs, mergers, acquisitions, and other corporate actions
• Partner with Brokerage Operations, Client Services, Participant Services, Relationship Managers, and Stock Plan Services leadership to ensure operational preparedness for key client events
• Monitor operational readiness, identify risks, and facilitate timely issue resolution
• Coordinate real-time communication across internal teams during high-volume or complex stock plan events
• Schedule, coordinate, and facilitate participant and issuer education sessions regarding brokerage services, account opening, trading processes, and stock plan transactions
• Support enrollment events and other educational initiatives designed to improve participant understanding and engagement
• Deliver presentations to corporate clients and participants while representing Empower as a knowledgeable and trusted advisor
• Serve as the central brokerage operations resource for the Stock Plan Services organization
• Identify opportunities to improve operational processes, increase efficiency, mitigate risk, and enhance the client experience through continuous improvement initiatives

• Bachelor's degree or equivalent combination of education and experience
• 5+ years of experience in brokerage operations, stock plan administration, equity compensation, relationship management, or financial services
• Demonstrated expertise supporting brokerage operations for equity compensation plans
• Strong working knowledge of equity compensation plans, including Restricted Stock Units (RSUs), Stock Options, and Employee Stock Purchase Plans (ESPPs)
• Strong working knowledge of brokerage account opening and servicing
• Strong working knowledge of Rule 144 filing requirements
• Strong working knowledge of SEC Forms 3, 4, and 5 reporting support
• Strong working knowledge of Rule 10b5-1 trading plans
• Strong working knowledge of securities transaction processing, settlement, and money movement
• FINRA Series 7 and 63 licenses or the ability to obtain the licenses if permitted by business requirements
• FINRA fingerprinting required upon hire

• Excellent verbal communication, presentation, relationship management, and consulting skills
• Ability to communicate complex operational and regulatory…