10b5-1 Stock Plan Services Associate

NationwideRemotemid

OtherAssociate

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Quick Summary

Overview

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,

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OtherAssociate

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 10b5-1 Stock Plan Services Associate supports the implementation, administration, monitoring, and execution of Rule 10b5-1 trading plans for corporate insiders, executive participants, and plan sponsors. This role provides hands-on trading and operational support while applying SEC regulations and requirements related to Rule 10b5-1, Rule 144, Section 16, Form 144, EDGAR, and EDGAR Next.

The ideal candidate brings a client-first mindset, exceptional attention to detail, and the ability to partner effectively with internal teams, issuers, outside counsel, and executive clients. Accuracy, timeliness, accountability, sound judgment, and high standards of ethics and regulatory compliance are essential to success in this role.

Responsibilities

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Set up and administer Rule 10b5-1 trading plans in accordance with Rule 10b5-1(c), including applicable cooling-off periods, single-trade plan requirements, and good-faith certifications.
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Coordinate with executive servicing teams, issuers, plan sponsors, and other stakeholders to align trading plans with applicable insider trading policies, documentation requirements, and pre-clearance procedures.
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Execute and monitor transactions under established Rule 10b5-1 trading plans while maintaining accuracy, timeliness, and regulatory compliance.
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Coordinate Rule 144 and Form 144 filing activities for insider transactions.
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Monitor aggregate trading activity for applicable Rule 144(e) volume limitations and support timely submission of Form 144 in accordance with broker instructions.
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Apply working knowledge of SEC regulations and EDGAR/EDGAR Next requirements to support compliant trading and reporting activities.
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Serve as a liaison among executive participants and internal legal, trading, operations, and executive servicing teams.
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Support client consultations by preparing relevant trading plan, holdings, transaction, and compliance information in partnership with the executive servicing team.
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Prepare and deliver reports summarizing holdings, trading activity, and compliance status.
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Identify opportunities to improve operational efficiency through enhanced processes and regulatory technology.
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Collaborate with internal and external partners to support organizational readiness for EDGAR Next requirements and initiatives.
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Perform other duties as assigned.

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Bachelor’s degree in Finance, Business Administration, or a related field and a minimum of three years of relevant experience in equity trading, compliance, executive services, or a closely related financial services function; in lieu of a bachelor’s degree, a minimum of seven total years of relevant experience is required.
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Active FINRA Series 7 and NASAA Series 63 registrations/licenses.
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FINRA Fingerprinting required.
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Working knowledge of Rule 10b5-1, Rule 144, Section 16, Form 144, and EDGAR/EDGAR Next compliance requirements.
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Quantitative, analytical, and research skills with strong attention to detail.
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Excellent written and verbal communication skills.
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Demonstrated integrity and sound judgment when handling material non-public information (MNPI).
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Ability to build and maintain effective professional relationships with executives, issuers/employers, plan sponsors, and internal partners.
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Proficiency with CRM systems, SharePoint, equity trading platforms, Microsoft Excel, and reporting tools.

Previous experience administering or supporting Rule 10b5-1 trading plans.
Certified Equity Professional (CEP) designation.
Experience supporting executive equity transactions involving Rule 144, Section 16 reporting, Form 144 filings, or EDGAR/EDGAR Next.

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***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

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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.