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.

As the Senior Stock Plan Service Specialist, you will oversee the design and execution of 10b5-1 trading plans, manage regulatory filings, and provide expert consultation on SEC regulations and compliance protocols. This role requires precision, timeliness, and a client-first mindset while also mentoring junior staff and driving continuous improvement across equity plan services.

What you will do

• Design, implement, and manage compliant Rule 10b5-1 trading plans

• Oversee execution of stock trades while ensuring compliance with SEC timing and pricing requirements

• Coordinate Section 16 and Rule 144 filings, including Forms 3, 4, 5, and 144

• Serve as subject matter expert on insider trading policies and EDGAR Next compliance

• Partner with legal, compliance, finance, HR, and plan sponsors to ensure accuracy and alignment

• Provide transparent consultation and reporting for executive clients and regulators

• Mentor junior traders and compliance analysts on best practices in execution and reporting

What you will bring

• Bachelor’s degree in Finance, Business Administration, or related field; MBA, CEP, or JD preferred

• 5–8 years of experience in equity trading, compliance, or executive services with 10b5-1 plan expertise

• Active FINRA Series 7 and NASAA Series 63; fingerprinting required

• Strong knowledge of Rule 10b5-1, Rule 144, Section 16, and EDGAR/EDGAR Next protocols

• Proven ability to deliver error-free execution with strong compliance ethics

• Analytical and quantitative skills with market awareness and regulatory insight

• Excellent written and verbal communication skills with executive-level presentation experience

What will set you apart

• Experience managing EDGAR Next enrollments, Form ID filings, and CCC/passphrase credentials

• Proven ability to advise executives on insider trading risks and trading best practices

• Track record of delivering compliance excellence with zero-error tolerance

• Ability to implement process improvements leveraging regulatory technology and market insights

• Comfort working with directors, officers, outside counsel, and regulators

• High proficiency with CRM, SharePoint, equity trading platforms, and reporting tools

• Strong leadership and mentoring skills with commitment to continuous improvement

***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.***

What we offer you

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.

• 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 that includes 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 — 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) –  BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.

Base Salary Range

The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. 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 from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.

Equal opportunity employer •  Drug-free workplace

We are an equal opportunity employer with a commitment to diversity.  All individuals, regardless of personal characteristics, are encouraged to apply.  All qualified applicants will receive consideration for employment without regard to age (40 and over), 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. 

***For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. 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 and the required internet connection.***

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