Senior Team Manager, High Net Worth Representative

Charles Schwab; Westlake (OH); On-site; USD 95,000 - 165,000; Full time

Job summary

Charles Schwab in Westlake, OH is seeking a Senior Team Manager, High Net Worth Representative on the Executive Services Trading Team to lead the team serving Executives and Directors of SPS Corporate Clients and their advisors.

The role emphasizes risk management, large block trades, SEC filings, and cross-functional partnerships to support client relationships; requires FINRA licenses and brokerage/trading experience.

Qualifications

• Bachelor’s degree or equivalent related work experience
• 3 years of financial service experience
• Active FINRA Series 7 and 63/66 licenses
• Brokerage, trading and managerial experience
• Experience processing large trades with high daily volume and risk mitigation
• Authorized to work in the United States full-time without sponsorship

Responsibilities

• Train, supervise teams’ interactions with high-profile clients while safeguarding material non-public information
• Oversee transactions execution and SEC Rule 144 filings and Form 4 reporting for Corporate Clients
• Partner with internal teams to facilitate large block trades
• Handle escalations, perform trade reviews and risk management to support client relationships

Skills

Financial services experience

FINRA Series 7 license

FINRA Series 63/66 licenses

Brokerage & trading experience

Trade risk management

Authorization to work in US without s

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.

Schwab Stock Plan Services (SPS) is a flexible, growing and highly specialized business unit within Workplace Solutions (WS) organization which works with corporations and their employees regarding their equity compensation plans. As a Senior Team Manager, High Net Worth Representative (People Leader) on the Executive Services Trading Team you will work directly with the Team members serving 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:

• Train, set expectations, empower, and supervise the teams’ interactions with high profile clients and safeguard material non-public and inside information.
• Oversee the team working with clients in executing transactions on their equity compensation awards & preparing filings of the SEC Rule 144 Form and preparation of reporting details for Corporate Clients filing of SEC Form 4’s.
• Partner with internal business partner organizations to facilitate execution of large block trades.
• Handle escalations, perform trade reviews and risk management, helping clients achieve their financial goals and supporting the SPS Corporate Client relationships.

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 years of financial service experience
• Active and valid FINRA Series 7 & 63/66 licenses
• Brokerage and trading and Manager experience
• Prior experience processing large trades and a high volume of trades daily while maintaining strict attention to details to mitigate risk
• Applicants must be currently authorized to work in the United States on a full-time basis without employer sponsorship.

Preferred Qualifications

• Active and valid FINRA Series 9/10 licenses (may be obtained under a condition of employment)

What’s in it for you

At Schwab, we’re committed to empowering our employees’ personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you’ll get the tools you need to make a positive difference in the finance industry. 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