Restricted Stock Services, Sr. Specialist

Charles Schwab Inc.•Lone Tree, CO

9d•$75,000 - $90,000•Onsite

About The Position

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. We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location.

Requirements

Series 7 & 63 or equivalent
3-5 Years of client facing or phone experience
2-4 Years Financial experience

Nice To Haves

Advanced securities licensing (Series 8, 9/10, or 24)
Strong organizational skills and attention to detail with emphasis on accuracy and timeliness
Ability to analyze and rectify issues that may result in monetary and/or reputational risk to the client or firm
Strong organizational skills and ability to manage time-sensitive transactions
2 Year College Degree or equivalent experience

Responsibilities

Managing inbound client calls regarding Rule 144 sales and compliance
Coordinating with issuer's counsel and transfer agents on the client's behalf
Administering 10b5-1 trading plans for corporate insiders
Exercising affiliate stock options
Prepare and file required regulatory documents to the SEC
Communicate and Coordinate with issuers' counsel and transfer agents to ensure required documentation is completed and securities are delivered accurately and on time.
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 Affiliates
Take 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 restricted stock.
Understand 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 processes are followed.