Manager, High Net Worth Representative, Stock Plan Services

Charles Schwab; Lone Tree (CO); On-site; USD 90,000 - 130,000; Full time

Benefits offered by this job

401(k) match

Paid time off

Parental leave

Tuition reimbursement

Health insurance

Job summary

Charles Schwab in Lone Tree, CO is seeking a Manager — High Net Worth Representative within Stock Plan Services to work with executives and directors on equity compensation matters. You will interact with high-profile clients, safeguard information, and guide complex trades.

The role emphasizes client service, accuracy in processing large trades, and collaboration with multiple teams to meet financial goals, with licensing requirements and a focus on risk mitigation.

Qualifications

• Bachelor’s degree or equivalent related work experience
• 3-5 years of financial service experience
• Active and valid FINRA Series 7 & 63/66 licenses required
• Active and valid FINRA Series 9/10 licenses preferred (may be obtained under a condition of employment)
• Brokerage and trading experience is required
• Prior experience processing large trades and a high amount of trades daily while maintaining strict attention to details to mitigate risk

Responsibilities

• Interact with high profile clients and safeguard material non-public and inside information.
• Assist clients in executing transactions related to their equity compensation awards and prepare filing of the SEC Rule 144 Forms and SEC Form 4’s.
• Partner with other organizations to facilitate execution of large block trades.
• Collaborate with peers to handle escalations and perform trade reviews, prioritizing the achievement of clients’ financial goals.

Skills

Client relationship management

Attention to detail

Communication skills

Education

Bachelor’s degree or equivalent related work experience

Job description

Position Type: Regular

Your opportunity

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.

Stock Plan Services (SPS) is a flexible, growing and highly specialized business unit within Workplace Services (WS) organization which works with corporations and their employees regarding their equity compensation plans. As a Manager — High Net Worth Representative of the Executive Services Trading Team you will work directly with the Executives and Directors on the Board of Directors of SPS Corporate Clients, their Financial Advisors and Financial Consultants, as well as, the Corporate Clients’ legal teams and Stock Plan Administration contacts.

Responsibilities will include, but not be limited to:

• Interact with high profile clients and safeguard material non-public and inside information.
• Assist clients in executing transactions related to their equity compensation awards and prepare filing of the SEC Rule 144 Forms and SEC Form 4’s.
• Partner with other organizations to facilitate execution of large block trades.
• Collaborate with peers to handle escalations and perform trade reviews, prioritizing the achievement of clients’ financial goals.

What you have

To ensure that we fulfill our promise of “challenging the status quo,” this role has specific qualifications that successful candidates should have.

Required Qualifications

• Bachelor’s degree or equivalent related work experience
• 3-5 years of financial service experience
• Active and valid FINRA Series 7 & 63/66 licenses required
• Active and valid FINRA Series 9/10 licenses preferred (may be obtained under a condition of employment)
• Brokerage and trading experience is required
• Prior experience processing large trades and a high amount of trades daily while maintaining strict attention to details to mitigate risk

Preferred Qualifications

• Basic knowledge of equity compensation
• Strong organizational skills with the ability to prioritize tasks
• Ability to relate, empathize and quickly build rapport with clients
• Effective listening and probing skills to identify cues, understand needs and provide relevant solutions to clients
• Strong team orientation
• Effectively respond to client concerns with limited direct supervision
• Excellent interpersonal and communication skills, highly detail oriented and strong time management skills.
• Ability to build relationships with clients and facilitate transactions
• Ability to handle trade dispute and client escalation items
• Demonstrate relevant experience on complex trading skills
• Coordinate with supervisory delegates across complex functional areas
• Ability to deliver training and coaching related to trading skills and high net worth client service
• Ability to educate clients on their individual equity award compensation plans

What’s in it for you

At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.

We offer a competitive that takes care of the whole you — both today and in the future:

• 401(k) with company match and Employee stock purchase plan
• Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
• Paid parental leave and family building benefits
• Tuition reimbursement
• Health, dental, and vision insurance