FINRA Licensed Stock Plan Lead

Job Summary

Serving as the operational lead and subject matter expert for Stock Plan Services, the full-time remote FINRA Licensed Stock Plan Lead will manage complex equity compensation operations, coordinate daily workflows, and provide technical guidance while ensuring compliance with securities regulations.

Key Responsibilities

• Coordinate daily operational workflows and establish processing priorities to meet service-level commitments
• Independently process and review complex stock plan transactions and operational exceptions within assigned authority
• Lead the resolution of complex operational escalations through root cause analysis and implement sustainable process improvements

Required Qualifications

• Bachelor's degree in Business, Finance, or a related field, or four additional years of financial services experience in lieu of a degree
• Minimum of six years of financial services experience with a focus on Stock Plan Services or brokerage operations
• Active FINRA Series 7 and Series 24 registrations required
• Advanced knowledge of stock plan administration, equity compensation programs, and operational controls
• Experience leading cross-functional operational initiatives and coordinating activities across multiple business partners