Sr Mgr Stock Plan Participant Services

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 Senior Manager, Stock Plan Participant Services leads the day-to-day operations of Empower's Stock Plan Participant Services team, ensuring participants receive timely, accurate, and high-quality support across equity compensation plans. This leader supervises frontline associates, drives operational excellence, maintains regulatory compliance, and delivers a consistent participant experience through effective people leadership, coaching, process execution, and service delivery.

Working closely with the Director of Stock Plan Participant Services and cross-functional partners, the Senior Manager ensures service standards and key performance indicators are achieved, operational and supervisory procedures are executed effectively, and associates are equipped to support participants with trading, equity education, and stock plan transactions.

What You Will Do

Lead, coach, and develop a team of Stock Plan Participant Services professionals to deliver high-quality participant experiences.

• Provide day-to-day supervision, performance management, coaching, and professional development to achieve service, quality, productivity, and operational objectives.
• Conduct regular one-on-one meetings, coaching sessions, and performance reviews while supporting employee engagement and professional growth.
• Monitor staffing, schedules, workload distribution, and service queues to maintain appropriate coverage and operational efficiency.
• Serve as the primary escalation point for complex participant inquiries, service issues, transactions, and operational exceptions.
• Oversee participant support across equity compensation events, stock plan transactions, and brokerage activities.
• Oversee complex stock plan transactions, including Rule 10b5-1 trading plans and Rule 144 transactions, in accordance with established procedures and regulatory requirements.
• Ensure associates effectively educate participants on equity compensation plans, stock plan features, trading processes, transactions, and available financial resources.
• Monitor key performance indicators, including service levels, quality, productivity, participant satisfaction, and operational accuracy, and implement appropriate actions to improve performance.
• Ensure accurate documentation, case management, and adherence to established service and operational standards.
• Identify process improvement opportunities and partner with leadership to implement operational enhancements.
• Support implementation of new products, procedures, technology enhancements, and operational changes.
• Ensure team adherence to applicable FINRA and SEC requirements, internal supervisory procedures, and established controls.
• Review transactions and operational activities to identify potential risks and ensure appropriate controls and escalation procedures are followed.
• Escalate regulatory, operational, and participant issues in accordance with established procedures.
• Support internal audits, compliance reviews, supervisory controls, and quality assurance activities.
• Reinforce standards related to regulatory compliance, operational discipline, risk management, and participant confidentiality.
• Partner with Workplace Stock Plan Services, Operations, Compliance, Trading, Technology, and other internal teams to resolve participant issues and improve service delivery.
• Provide leadership with operational insights regarding participant trends, service opportunities, risks, and process improvements.
• Support onboarding and training of new associates and promote consistent service standards and best practices.
• Execute departmental initiatives and operational priorities established by leadership.

What You Will Bring

• Bachelor's degree.
• Minimum of 5 years of experience in equity compensation, stock plan services, wealth management, or financial services.
• Strong knowledge of equity compensation plans, stock plan administration, participant servicing, and brokerage operations.
• Experience supervising operational workflows in a regulated financial services environment.
• Demonstrated ability to coach, develop, and motivate teams.
• Strong knowledge of complex stock plan transactions, including Rule 10b5-1 trading plans and Rule 144 transactions.
• Experience managing service levels, operational quality, productivity, staffing, and other key performance indicators. These are central responsibilities but are not currently represented as candidate qualifications.
• Knowledge of FINRA and SEC requirements and supervisory controls applicable to brokerage and stock plan participant services.
• FINRA Series 7, Series 24 (or Series 9 and 10 in lieu of Series 24), Series 63, and Series 65 (or Series 66) registrations required or obtained within corporate-approved timeframes.
• Certified Equity Professional (CEP®) designation required or obtained within corporate-approved timeframes.
• FINRA Fingerprinting required.

What Will Set You Apart

• 2+ years of people leadership or supervisory experience.
• Previous leadership experience within equity compensation, stock plan participant services, brokerage operations, or a regulated financial services contact center.
• Experience leading teams responsible for complex brokerage or equity transactions.
• Experience implementing operational, technology, product, or process changes within a regulated financial services environment.

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, 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.