Senior Specialist - Restricted Stock & 10b5-1 Plans

Charles Schwab; Lone Tree (CO); On-site; USD 90,000 - 120,000; Full time

Benefits offered by this job

401(k) with company match

PTO and sabbatical program

Parental leave and family benefits

Tuition reimbursement

Health, dental, and vision insurance

Job summary

Charles Schwab is seeking a Senior Specialist in the Restricted Securities Service to assist corporate officers, insiders, and major shareholders with Rule 144 sales and related trading plans. You will act as a single point of contact, coordinating with issuers' counsel and transfer agents while ensuring timely documentation and accurate trade entry.

Responsibilities include handling restricted stock exercises, risk identification, and providing highly customized service to Schwab Executives and

Qualifications

• Series 7 & 63 or equivalent is required.
• 3–5 years of client-facing or phone experience.
• 2–4 years of financial industry experience.

Responsibilities

• Manage inbound client calls regarding Rule 144 sales and compliance.
• Coordinate with issuer's counsel and transfer agents for clients.
• Administer 10b5-1 trading plans for corporate insiders.
• Exercising affiliate stock options and calculating limits on sells.
• Explain control party restrictions and AML risks to clients.

Skills

Series 7/63 license

Client facing

Financial experience

Job description

Charles Schwab is seeking a Senior Specialist in the Restricted Securities Service to assist corporate officers, insiders, and major shareholders with Rule 144 sales and related trading plans. You will act as a single point of contact, coordinating with issuers' counsel and transfer agents while ensuring timely documentation and accurate trade entry.

Responsibilities include handling restricted stock exercises, risk identification, and providing highly customized service to Schwab Executives and