At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.
The Restricted Stock Senior Specialist is part of the Restricted Securities Service organization which is responsible for restricted stock and Rule 144 services provided to both Retail and Advisor clientele alike. The Senior Specialist is responsible for assisting corporate officers, affiliates, insiders, and other major shareholders in selling their stock under Rule 144 and within a 10b5-1 trading plan.
Specific job tasks include:
Managing inbound client calls regarding Rule 144 sales and complianceCoordinating with issuer's counsel and transfer agents on the client's behalfAdministering 10b5-1 trading plans for corporate insidersExercising affiliate stock options
As a member of the Restricted Stock Service department, the Senior Specialist’s responsibilities include:
Prepare and file required regulatory documents to the SEC andEffective communication and coordination with issuer's counsel and transfer agents on the client's behalf to ensure that the proper paperwork is on file, all parties are aware of details surrounding the delivery of securities and confirm that securities have been successfully delivered under a strict timeframe.Accurately exercise affiliate stock options; understand the benefits and disadvantages of the various option exercises.Deliver highly customized and superior service to Schwab Executives and AffiliatesTake ownership of client needs and acts as a single point of contact, always maintaining professionalism and composure.Accurately enter client trades on restricted stock once all appropriate paperwork has been submitted, at client request.Perform calculations as to limits on sells of restrictedUnderstand and clearly explain control party restrictions, trading restrictions and regulations to clients and business partners.Aid in the identification of risks such as unidentified control parties, potential AML flags, and fraudulent activities, escalating when appropriate.Actively participate in Problem Solving sessions to ensure proper What you have
Candidates will possess the following skillset:
Required Qualifications:
Series 7 & 632-4 Years Brokerage Operations requiredAbility to multi-task in a fast-paced, daily deadline driven environment and prioritize workPreferred Qualifications:
Flexible and responsive to changeStrong organizational skills and attention to detail with emphasis on accuracy andAbility to analyze and rectify issues that may result in monetary and/or reputational risk to the client or firm.Able to focus and perform underWorks with high sense ofConsistently open and responsive to9/10 and 24 preferred2 Year College Degree or equivalent experience preferredMilitary education or experience may be considered in lieu of civilian requirementsIn addition to the salary range, this role is also eligible for bonus or incentive opportunities.
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