Restricted Stock Services, Sr. Specialist

About the Role

In this role, you will support corporate officers and major shareholders in selling their stock under Rule 144 within a 10b5-1 trading plan. You will collaborate with issuers' counsel and transfer agents to ensure compliance and accuracy in transactions.

Responsibilities

• Manage inbound client calls regarding Rule 144 sales and compliance
• Coordinate with issuer's counsel and transfer agents on the client's behalf
• Administer 10b5-1 trading plans for corporate insiders
• Accurately exercise affiliate stock options
• Prepare and file required regulatory documents to the SEC
• Identify risks and escalate when necessary

Requirements

• Series 7 & 63 or equivalent
• 3-5 years of client-facing or phone experience
• 2-4 years Financial experience
• Strong organizational skills and attention to detail
• Ability to analyze and rectify issues

Benefits

• 401(k) with company match and Employee stock purchase plan
• Paid time for vacation, volunteering, and sabbatical after five years
• Paid parental leave and family building benefits
• Tuition reimbursement
• Health, dental, and vision insurance