[Remote] Senior Stock Plan Services Specialist at Empower

San Antonio, Texas, United States

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Not SpecifiedCompensation

N/AExperience Level

N/AJob Type

Not SpecifiedVisa

N/AIndustries

Requirements

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

Responsibilities

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
Experience managing EDGAR Next enrollments, Form ID filings, and CCC/passphrase credentials
Advise executives on insider trading risks and trading best practices
Deliver compliance excellence with zero-error tolerance
Implement process improvements leveraging regulatory technology and market insights
Work 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

Skills

Empower

Personal finance management and credit building

About Empower

Empower.me provides personal finance management and credit building services through a subscription model. Users can sign up for a 14-day free trial, after which they pay $8 per month for access to various financial tools. These tools include customizable payment plans, budgeting features, and credit score monitoring. A key aspect of Empower.me is its focus on helping users build credit by reporting their payments to credit bureaus, which can enhance their credit history if payments are made on time. Additionally, Empower.me offers a Thrive line of credit, which involves a soft inquiry on the user's credit report, ensuring that their credit score remains unaffected during the application process. Unlike many competitors, Empower.me specifically targets individuals with no minimum credit score, aiming to improve their financial health and savings.

San Francisco, CaliforniaHeadquarters

2016Year Founded

$96.8MTotal Funding

LATE_VCCompany Stage

Fintech, Financial ServicesIndustries

51-200Employees

Benefits

Generous equity package

Full healthcare benefits

Unlimited PTO

Technology expense reimbursement

Work from anywhere

Risks

Increased competition from fintech companies like Chime and Varo could impact market share.

Integration challenges from acquisitions may disrupt operations and delay strategic goals.

Regulatory scrutiny on credit services could increase compliance requirements and costs.

Differentiation

Empower offers a unique subscription-based model for financial management tools.

The company focuses on credit building by reporting payments to credit bureaus.

Empower's Thrive line of credit involves a soft inquiry, not affecting credit scores.

Upsides

Acquisition of Petal and Cashalo expands Empower's product offerings and customer base.

Increased demand for financial literacy tools among millennials and Gen Z benefits Empower.

Growing interest in alternative credit scoring aligns with Empower's mission for underserved consumers.

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