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10b5-1 Stock Plan Services Associate at Empower - ApplyBlast

10b5-1 Stock Plan Services Associate

Empower

16 days ago

3.9 on Glassdoor

Remote

Full Time

Medior

0 applicants

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About this role

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.

Responsibilities

Set up and administer Rule 10b5-1 trading plans for corporate insiders and executives
Execute and monitor transactions while ensuring regulatory compliance with SEC regulations
Coordinate Rule 144 and Form 144 filing activities for insider transactions

Skills

Qualifications

Bachelor's degree in Finance, Business Administration, or a related fieldFINRA Series 7NASAA Series 63FINRA FingerprintingCertified Equity Professional (CEP) designation

About Empower

empower.com

Headquarters

Greenwood Village, Colorado, United States

Company Size

10001+ employees

Founded

2014

View Profile

Empower is a financial services company that provides retirement plan administration, investment and wealth-management solutions, and digital advice and planning tools for individuals, employers, and financial professionals. The firm combines human advice, people, and technology to help clients save for retirement, manage assets, and make informed investment decisions across workplace plans and personal accounts. Empower also supports employers and plan sponsors with plan services, reporting, and fiduciary solutions while offering advisors client-facing tools. Their stated vision is to transform financial lives and “empower financial freedom for all” (tagline: Invest well. Live a little.).

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