Executive Services Specialist (10b5-1)

  • Not Specified
  • Sandy Hills, UT, USA
  • Permanent, Full time
  • E Trade Financial
  • 13 Nov 18

More than 30 years ago, E*TRADE pioneered the online brokerage industry by executing the first-ever electronic individual investor trade. While the landscape of our industry has changed dramatically, our culture of innovation and drive to make online trading accessible to everyone continues to drive us


More than 30 years ago, E*TRADE pioneered the online brokerage industry by executing the first-ever electronic individual investor trade. While the landscape of our industry has changed dramatically, our culture of innovation and drive to make online trading accessible to everyone continues to drive us forward. We believe in challenging the status quo, fostering an environment of curiosity and learning, and, above all, putting our customers first.

SUMMARY

Rule 10b5-1 is established by the Securities Exchange Commission to allow insiders of publicly traded corporations to set up a trading plan for selling or purchasing stock. A Rule 10b5-1 plan permits directors, officers and other insiders to sell or buy stock without risk of insider trading liability because the 10b5-1 plan is put in place at a time when they are not in possession of material non-public information and the trades are later carried out without their further action.

This role is part of the 10b5-1 team and offers a unique opportunity to work in a critical function at E*TRADE. A successful candidate will be responsible for working directly with E*Trade's Relationship Managers and corporate executives to advise, create and implement customized 10b5-1 trading plans. Our team of professionals goes the extra mile to deliver a best-in-class experience.

RESPONSIBILITIES

  • Help Relationship Manager educate and provide advice to corporate executives on the best way to execute trade schedule
  • Ensure all plans comply with Rule 144, 10b5-1 and 10b-18
  • Provide high touch client service and support to our Relationship Managers and corporate executives while drafting and implementing 10b5-1 plan
  • Exhibit critical thinking / problem solving skills to address client issues and questions to deliver a best in class customer experience
  • Ability to handle highly sensitive details for officers, directors and insiders of public corporations
  • Strong technical aptitude and understanding for corporate equity compensation including stock options, performance stock units, restricted stock units and client relationship management tools is necessary

REQUIREMENTS

Basic

  • 5-7 years of experience in a financial sales/service environment with proven results
  • Series 7 and 63 REQUIRED Series 66 preferred
  • Education or training equivalent to a Bachelor's Degree
  • Attain CEE and CEP Level 1 after the completion of 1 year of employment

Preferred
  • Must have comfort level and experience servicing the needs of high net worth individuals.
  • Advanced knowledge of the securities industry including corporate equity compensation plans
  • Strong familiarity with Rule 144 and 10b51 plans is highly preferred
  • Outstanding oral and written communication skills with a very strong attention to detail
  • Positive and professional customer service attitude and capability
  • Ability to work independently and within a team environment while adeptly resolving intricate client issues
  • Ability to leverage colleagues and cross functional partners in other departments to work collectively to exceed client demands and to provide timely solutions
  • Ability to travel up to 10 to 15% of the time if needed to meet with E*Trade Relationship Managers and or ETCS.

We offer a competitive and comprehensive benefits package. Please visit https://www.etradecareers.com/why-work-at-etrade/employee-benefits/ to learn more about the opportunities.

E*TRADE Financial is an Equal Opportunity Employer who encourages diversity in the workplace. All qualified applicants will receive consideration for employment without regard to race, color, national origin, religion, sex, age, disability, citizenship, marital status, sexual orientation, gender identity, military or protected veteran status, or any other characteristic protected by applicable law.