Restricted Stock Sr. Specialist

About the role

The Restricted Stock Senior Specialist is part of the Restricted Securities Service team, supporting retail and advisor clients with restricted stock and Rule 144 services. This role involves assisting corporate officers, affiliates, insiders, and other major shareholders with stock sales under Rule 144 and 10b5-1 trading plans.

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
• Preparing and filing required regulatory documents with the SEC and relevant exchanges
• Coordinating with issuers’ counsel and transfer agents to confirm required paperwork is complete
• Maintaining professionalism and composure during client trades
• Explaining control party restrictions, trading limitations, and related regulations to clients and business partners
• Identifying and escalating risks such as undisclosed control parties, potential AML concerns, and fraud

Requirements

• Series 7 & 63 Licenses
• Minimum 2-4 Years Brokerage Operations
• High sense of urgency
• Strong organizational skills and attention to detail with emphasis on accuracy and timeliness
• Able to analyze and rectify issues that may result in monetary and/or reputational risk to the client or firm
• Able to focus and perform under stress
• Open and responsive to coaching while being flexible and responsive to change
• Bachelor's Degree or equivalent experience

Qualifications

• Series 8, 9, 10, or 24 preferred

Benefits

• 401(k) with company match and Employee stock purchase plan
• Paid time off, 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