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Restricted Stock Service Specialist

Location Phoenix, Arizona, United States Requisition ID 2021-67113 Category Investment Management Position Type Regular
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Your Opportunity

Schwab Advisor Services Restricted Stock Service is the leading provider of custodial, operational and trading support for independent, fee-based investment advisors with regards to their restricted stock. We’re looking for individuals excited about helping advisors grow successful businesses through a proactive and focused approach to service. 

The Restricted Stock Service Specialist position will be responsible for supporting investment advisors, AS Service/Sales teams and the AS trading desk through primary education on 1933 Act pursuant to Rule 144, 144 b1, 144A, Regulation D, Regulation S and 10b5-1. The position has the opportunity to occasionally aide advisors on 1933 Act Rules and Regulations. This individual will work closely with number of stakeholders, both internal and external, and will be responsible for building those relationships through consultation on best practices, partnership and ownership.  The primary partners of this role will be RIA clients, Equity/Fix Income Trading, AS Service/Sales, Security Operations, Margins, Corporate Actions and Prime broker/Trade Away. 

What you are good at

Restricted Stock Service Specialists act as an ambassador of Restricted Stock at Schwab to educate, guide, and assist internal and external clients. A career in Restricted Stock begins with a solid client focused mentality and a strong desire to help clients meet their restricted stock needs. Providing our clients with exceptional experiences is the priority at Schwab. Our goal is that all team members create internal and external client loyalty with every interaction. We want you to bring your personality to your calls and create those memorable experiences for clients. With a dual focus on inspiring client loyalty and employee engagement and development, we support clients and employees in reaching their goals.


Through your client conversations, you will:

  • Educate clients - engage clients in discussions focused on educating and providing guidance as it relates to their restricted stock needs. Care enough to ask the difficult questions knowing that just one question, the right question, can change the outcome for the client.
  • Build strong client and internal relationships - Collaborate in a team-based environment with a diverse group of professionals focused on meeting the needs of the clients and Charles Schwab & Co.

What you have

  • Series 7 and 63/66 licenses required
  • Series 9/10, or series 8 (preferred), or a willingness to obtain possibly under a condition of employment post hire 
  • Bachelor’s degree(preferred) or equivalent work experience
  • 2-5 years’ experience in financial services required
  • Exposure to working with Advisors and exercising strong problem solving skills
  • Unparalleled sense of follow through and task execution
  • Risk identification and mitigation skills
  • Work well in a collaborative and fast paced team environment
  • Solid computer skills are a must with good general knowledge of balance, position, and transaction systems necessary.  
  • Excellent written and oral communication skills, strong organizational skills, attention to detail, and ability to multitask are critical. 
  • Strong customer service skills
  • Be able to deliver complex information while maintaining a positive client experience

Why Schwab?

At Schwab, “Own Your Tomorrow” embodies everything we do! We are committed to helping our employees unleash their potential and achieve their dreams. Our employees get to play a central role in disrupting a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. We’re a modern financial services firm that stands apart from the industry, where you can go as far as your ambition takes you.

Hear from employees: What’s it like to work at Schwab!

The benefits of working at Schwab : a package designed to empower your health, wealth, career and life. Schwab is committed to building a diverse and inclusive workplace where everyone feels valued.

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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