Stock Plans Manager / Sr. Manager

Job Description

Job Description

Benefits:

• 401(k)
• 401(k) matching
• Bonus based on performance
• Competitive salary
• Dental insurance
• Health insurance
• Opportunity for advancement
• Paid time off
• Vision insurance

Position Summary:

We are seeking an experienced, motivated, and client-focused Team Leader to oversee our Stock Plan Participant Support team. In this leadership role, you’ll manage day-to-day operations, coach and develop a team of licensed support specialists, and ensure high-quality service delivery for employees participating in public company stock plans.

The ideal candidate will bring a strong understanding of equity compensation, proven leadership skills, and a passion for developing others. Active Series 24 license is strongly preferred; candidates without the license must obtain it within 6 months of hire. Series 7 and Series 63 licenses are required.

Key Responsibilities:

Leadership & Oversight:

• Lead and mentor a team of Stock Plan Support Specialists, providing coaching, training, and performance feedback
• Ensure compliance with industry regulations and internal supervisory procedures
• Serve as the primary escalation point for complex participant inquiries and transactions
• Collaborate with internal stakeholders and brokerage partners to resolve issues and enhance service delivery
• Conduct quality assurance reviews and support licensing oversight as required under FINRA guidelines

Participant Experience:

• Monitor service channels (phone, email, chat) to ensure timely and effective participant support
• Drive a client-first culture by modeling best practices and ensuring the team delivers consistent, high-quality guidance
• Assist in onboarding new clients or expanding stock plan services with current clients

Operational Excellence:

• Oversee transaction accuracy, reporting, and regulatory documentation
• Identify trends and operational gaps; recommend and implement process improvements
• Help maintain and update training materials, FAQs, and participant resources

Required Qualifications:

• Active Series 7 and Series 63 licenses required
• Series 24 license required or must be obtained within 6 months of hire (company-sponsored preparation available)
• 3+ years of experience in equity compensation, brokerage operations, or financial services support
• 3+ years of leadership or supervisory experience (team lead, supervisor, or manager role)
• Strong knowledge of stock plan types (RSUs, stock options, ESPP) and trading platforms
• Excellent communication, coaching, and problem-solving skills
• Ability to manage priorities in a fast-paced, client-centric environment