Senior Team Manager, High Net Worth Representative

Your opportunity

At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.

Schwab Stock Plan Services (SPS) is a flexible, growing and highly specialized business unit within Workplace Solutions (WS) organization which works with corporations and their employees regarding their equity compensation plans. As a Senior Team Manager, High Net Worth Representative (People Leader) on the Executive Services Trading Team you will work directly with the Team members serving 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.

Responsibilities will include, but not be limited to:

• Train, set expectations, empower, and supervise the teams' interactions with high profile clients and safeguard material non-public and inside information.
• Oversee the team working with clients in executing transactions on their equity compensation awards & preparing filings of the SEC Rule 144 Form and preparation of reporting details for Corporate Clients filing of SEC Form 4’s.
• Partner with internal business partner organizations to facilitate execution of large block trades.
• Handle escalations, perform trade reviews and risk management, helping clients achieve their financial goals and supporting the SPS Corporate Client relationships.

What you have

To ensure that we fulfill our promise of "challenging the status quo," this role has specific qualifications that successful candidates should have.

Required Qualifications

• Bachelor’s degree or equivalent related work experience
• 3+ years of financial service experience
• Active and valid FINRA Series 7 & 63/66 licenses
• Brokerage and trading and Manager experience
• Prior experience processing large trades and a high volume of trades daily while maintaining strict attention to details to mitigate risk
• Applicants must be currently authorized to work in the United States on a full-time basis without employer sponsorship.

Preferred Qualifications

• Active and valid FINRA Series 9/10 licenses (may be obtained under a condition of employment)