Restricted Stock Sr. Specialist

About the Role

As a Restricted Stock Senior Specialist, you will assist corporate officers and major shareholders with stock sales and compliance under Rule 144. This role requires you to manage client communications, ensure compliance with regulations, and provide customized service to high-level clients.

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
• Preparing and filing required regulatory documents with the SEC
• Ensuring delivery details are understood and securities are delivered within strict timeframes
• Identifying and escalating risks such as undisclosed control parties and potential AML concerns

Requirements

• Series 7 & 63 Licenses
• Minimum 2-4 Years Brokerage Operations
• Strong organizational skills and attention to detail
• Ability to analyze and rectify issues that may result in monetary and/or reputational risk
• Able to focus and perform under stress
• Bachelors Degree or equivalent experience

Benefits

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