Director, High Net Worth Rep (PL)

Your Opportunity

Schwab remains committed to providing increased visibility to career growth opportunities and job requirements. This posting announcement is part of increased transparency and while all qualified applicants will be reviewed and considered, this organization has a preferred candidate identified for this role.

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.

We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location.

Stock Plan Services (SPS) is a flexible, growing and highly specialized business unit within Workplace Financial Solutions (WFS) organization which works with corporations and their employees regarding their equity compensation plans. As a Director, 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.

In this role you will train, set expectations, empower, supervise the Team members’ interactions with high profile clients, safeguard material non-public and inside information and lead a highly skilled team. You will oversee Team members working with clients in executing transactions on their equity compensation awards and preparing filings of the SEC Rule 144 Form and preparation of reporting details for Corporate Clients filing of SEC Form 4’s. You will also partner with internal business partner organizations to facilitate execution of large block trades. You will also be responsible for handling 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 have fulfilled 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
• 10+ years of financial service experience
• 10+ years working with high-net-worth clients and high understanding of 10b5-1 plan administration
• 10+ years leading highly successful teams
• Active and valid FINRA Series 7 & 63/66 licenses required
• Active and valid FINRA Series 9/10 licenses
• Brokerage and trading and Manager experience is required
• Prior experience processing large trades and a high volume of trades daily while maintaining strict attention to details to mitigate risk

Preferred Qualifications:

• Demonstrated proficiency on developing and leading high-performance teams
• Leading Employee Engagement
  • Creating shared vision
  • Inspiring innovation and collaboration
  • Cultivating subject matter expertise roles
• Performance Management
  • Setting clear objectives
  • Fostering Accountability
  • Supporting Career Advancement
• SPS Executive Services oversight responsibility
  • Affiliate Trading, SEC Filings, 10b5-1 administration
  • Corporate Client Relationship Management skills
• Advanced knowledge of equity compensation
• Strong organizational skills with the ability to prioritize tasks
• Ability to relate, empathize and quickly build rapport with team members and clients
• Ability to train and supervise team members on client interaction skills including effective listening and probing skills to identify cues, understand needs and provide relevant solutions to clients
• Strong team orientation
• Effectively handle escalated client concerns with limited direct supervision
• Excellent interpersonal and communication skills, highly detail oriented and strong time management skills.
• Ability to build relationships with team members, clients and facilitate transactions
• Ability to handle trade dispute and client escalation items
• Demonstrate relevant experience on complex trading skills
• Coordinate with supervisory delegates across complex functional areas
• Ability to deliver training and coaching related to trading skills and high net worth client service
• Ability to educate team members to assist clients on their individual equity award compensation plans
• Escalation and problem resolution skills

In addition to the salary range, this role is also eligible for bonus or incentive opportunities.