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Stock Plans Manager / Sr. Manager

Muriel Siebert & Co Inc

Nashville, TN

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JOB DETAILS
SKILLS
Best Practices, Brokerage, Coaching, Compensation and Benefits, Customer Relations, Dental Insurance, Documentation, Financial Services, Frequently Asked Questions (FAQ), Health Insurance, Leadership, Licensing, Maintain Compliance, Mentoring, Onboarding, People Management, Problem Solving Skills, Process Improvement, Quality Assurance, Reconciliation, Regulatory Compliance, Regulatory Reports, Series 24, Series 63, Series 7, Service Delivery, Stock Purchase Plans, Team Lead/Manager, Team Player, Time Management, Trading Platforms, Training/Teaching, Trend Analysis, Vision Plan
LOCATION
Nashville, TN
POSTED
30+ days ago
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

About the Company

M

Muriel Siebert & Co Inc

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