Job Description

Your Opportunity
Stock Plan Services (SPS) is a growing and highly specialized business unit within Workplace Financial Solutions (WFS) organization which works with corporations and their employees regarding their equity compensation plans. As a member 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. A qualified candidate must be able to effectively interact with high profile clients and safeguard material non-public and inside information. You will assist the clients in executing transactions on their equity compensation awards and prepare filing of the SEC Rule 144 Form and preparation for filing of SEC Form 4s. You will also be required to partner with other groups to facilitate execution of large block trades. Daily communication with the Trading Operations Teams is common during busy open window periods.

What you are good at

A successful SPS Executive Services Trading Team Professional will have:

* Knowledge of SEC rules 144, Form 4 and 10b5-1
* 2-3 years of strong consultative, business development, and customer service skills
* Excellent interpersonal and communication skills
* Ability to build relationships with clients and facilitate transactions for stock option plans, restricted stock units & awards, stock appreciation rights and employee stock purchase plans
* Capacity to educate clients on their individual equity award compensation plans
* Prior experience processing large trades ($1 Million +) and a high amount of trades daily while maintaining strict attention to details to mitigate risk

What you have

* Series 7 and 63/66 licenses
* You will have a condition of employment for passing the FINRA Series 7 & 63/66 licenses
* Brokerage and trading experience highly desired.
* Basic knowledge of equity compensation.
* Customer service experience-preferably in the financial services industry.
* Bachelors degree or equivalent related work experience.
* 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 supervision.









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The posted salary range describes the minimum to maximum range for this job description in the state of Colorado. The salary range is posted in accordance with the Colorado Equal Pay for Equal Work Act. The salary range for this same position may be lower or higher in markets outside of Colorado.

As an equal employment opportunity employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. (Please click here to see policy.)

Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace.
We believe diversity and inclusion are part of our success as a company and our purpose of serving every client with passion and integrity.

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