Job Description:

The Role

The Brokerage Operations Associate is a member of the Restricted Stock Services team. You will be primarily responsible for assisting our clients (brokerage firms and investment advisors) in selling restricted / control securities for their client’s pursuant to Securities and Exchange Commission guidelines and insider trading rules, where applicable. As a member of the restricted Stock Services team, you will be part of a small, highly motivated team of professionals delivering outstanding service with a keen eye towards regulatory compliance. You will provide mentorship, education and attention to detail on transactions from start to finish, while managing multiple work items.

The Brokerage Operations Associate will interact with our client’s, corporate securities' counsel, and transfer agents in order to provide a flawless client experience.

The Expertise and Skills You Bring

Bachelor’s degree preferred 2-3 Financial Services experience preferred Strong and effective verbal and written communication skills Ability to work under pressure and within tight deadlines Understanding/ administration of 10b51 trading plans, a plus Solid understanding of Fidelity systems (XTRAC, FBSI), a plus

The Team

The Restricted Stock Services team is charged with putting high net worth clients (including executive suite officers, corporate directors and holders of restricted stock) in a position to be able to sell shares by acquiring the accurate clearances and making regulatory filing as needed. Often, the work done by our team will be the client’s first experience with our firm and it is imperative that we provide and excellent experience that can then be built upon by our business partners.

These transactions must be conducted pursuant to SEC regulations as well as each issuer’s own policies and procedures.

The team administers Rule 10b5-1 trading plans for Custody and FFOS clients and interacts as SMEs with Legal, Risk, Compliance and AML with respect to margin implications, registration requirements, de-legending of restricted shares and incoming securities deposits.

Team members manage their work items from start to finish and remain the primary contact for that business partner during the lifespan of the work item .

Certifications: