Specialist - Restricted Stock

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Job ID:
0327-39698
Job Category:
Brokerage Operations & Trading
Relevant Work Experience:
Brokerage Operations-2-5 yrs, Brokerage Operations-less than 2yrs
Current Licenses / Certifications:
FINRA Series 63, FINRA Series 7
Position Located In:
CO - Lone Tree, CO - Denver
Education:
HS/GED
Job Type:
Full Time
Description:

Lone Tree - CO, BRCOQ4, 9899 Schwab Way, 80124-5377
Tammie Raven
0327-39698

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Opportunity: 

The Restricted Stock Specialist will be part of the Restricted Securities Service which is responsible for restricted stock and Rule 144 services provided to Advisor Services/Investor Services. The Specialist is responsible to assist corporate officers, affiliates, insiders and other major shareholders in selling their issuers stock under Rule 144 and within a 10b5-1 trading plan. 

What you’ll do:

As a member of a 26-person team, the Specialist’s Responsibilities include:

  • Analytical skill set is highly desirable as the particular job function has direct impact and influence with regards to trade instructions
  • Prepare and file required regulatory documents to the SEC and exchanges
  • Effective 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 Affiliates Take ownership of client needs and acts as a single point of contact Coordination of internal/external business partners to manage client issues to successful resolution
  • Specific job tasks include: 1) handling inbound client calls regarding Rule 144 sales and compliance; 2) coordinating with issuer's counsel and transfer agents on the client's behalf; 3) administering 10b5-1 trading plans for corporate insiders; 4) exercising affiliate stock options 5) Asset Acceptance

 What you have:

  • Proven verbal and written communications skills
  • FINRA license Series 7 and Series 63 are required
  • FINRA license Series 9/10 and/or 24 are highly preferred 

You demonstrate these behaviors: 

  • Fostering Teamwork - Team Members: Listens and responds constructively to other team members ideas. Is open with other team members about his/her concerns
  • Personal Accountability: Take responsibility for own mistakes and does not blame others. Conveys and command of relevant facts and information
  • Flexibility: Is able to see the merits of perspectives other than their own
  • Oral Communication: Expressing oneself clearly in conversations and interactions with others
  • Adaptability: (Emotionally Mature): The ability to keep functioning effectively when under pressure and maintain self-control in the face of hostility or provocation. Can effectively handle several problems, issues, items or tasks at once  
  • Interpersonal Effectiveness: Understands the interests and important concerns of others. Listens attentively to people’s ideas and concerns
  • Building Collaborative Relationships: The ability to develop, maintain and strengthen partnerships with others inside or outside of the organization who can provide information, assistance and support 

What you’ll get:

  • Comprehensive Compensation and Benefits package
  • Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program
  • Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions
  • Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
  • Not just a job, but a career, with an opportunity to do the best work of your life 


Learn more about Life@Schwab.


Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab's hiring decisions. All other submissions should be performed online.


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: FINRA Series 63, FINRA Series 7
Relevant Work Experience: Brokerage Operations-2-5 yrs, Brokerage Operations-less than 2yrs
Position Located In: CO - Lone Tree, CO - Denver
Education: HS/GED
Job Type: Full Time

Category:Brokerage Operations & Trading
Activation Date: Tuesday, March 27, 2018
Expiration Date: Wednesday, April 11, 2018
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Brokerage Products: Not FDIC Insured • No Bank Guarantee • May Lose Value

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant.

At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab’s hiring decisions. All other submissions should be performed online.

The Charles Schwab Corporation provides a full range of securities, brokerage, banking, money management, and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (“Schwab”), Member SIPC , offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products.