Brokerage Analyst, Restricted Stock Services
2 months ago
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:
Company Overview
Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients. We help people invest and plan for their future. We assist companies and non-profit organizations in delivering benefits to their employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own clients money.
Join Us
At Fidelity, you ll find endless opportunities to build a meaningful career that positively impacts peoples lives, including yours. You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. Honored with a Glassdoor Employees Choice Award, we have been recognized by our employees as a top 10 Best Place to Work in 2024. And you don t need a finance background to succeed at Fidelity\u2014we offer a range of opportunities for learning so you can build the career you ve always imagined.
Fidelity s hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite all business days of every other week in a Fidelity office.
At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry. Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation, detailed in this document, and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.
We invite you to Find Your Fidelity at fidelitycareers.com.
Fidelity Investments is an equal opportunity employer. We believe that the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging.
Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation, contact the HR Accommodation Team by sending an email to accommodations@fmr.com.
-
Brokerage Analyst, Restricted Stock Services
2 weeks ago
Westlake, Ohio, United States Fidelity TalentSource LLC Full timeJob Description:The Brokerage Operations Associate is a key member of the Restricted Stock Services team at Fidelity Investments. As a member of this team, you will be responsible for assisting clients (brokerage firms and investment advisors) in selling restricted / control securities in accordance with Securities and Exchange Commission guidelines and...
-
Brokerage Operations Associate
5 days ago
Westlake, Ohio, United States Fidelity TalentSource LLC Full timeJob Description:The Brokerage Operations Associate is a key member of the Restricted Stock Services team at Fidelity Investments. This role is responsible for assisting clients, including brokerage firms and investment advisors, in selling restricted securities in accordance with Securities and Exchange Commission guidelines and insider trading rules. As a...
-
Stock Plan Services Specialist
2 weeks ago
Westlake, Ohio, United States Charles Schwab Full timeJob Title:Stock Plan Services SpecialistAbout the Role:We are seeking a highly skilled and motivated Stock Plan Services Specialist to join our team at Charles Schwab. As a key member of our team, you will be responsible for providing exceptional service to our clients, facilitating transactions for stock option awards, restricted stock units, and employee...
-
Associate Analyst, Brokerage Operations
6 days ago
Westlake, United States Fidelity TalentSource LLC Full timeJob Description:The RoleAs an Associate Analyst in the Account Re-Registration Services (ARS) group in OSG, you will be a part of a broad team of operations professionals handling the re-registration process for clients experiencing life events.\u00A0 Utilizing various on-line tools and reference materials, you will be responsible for the accurate and timely...
-
Associate Analyst, Brokerage Operations
3 weeks ago
Westlake, United States Fidelity TalentSource LLC Full timeJob Description:International Settlements is responsible for ensuring the accurate and timely settlement of foreign Equity, Fixed Income and foreign currency transactions across 53 foreign markets.\u00A0 The Team The International Settlements team works with many groups across all of Fidelity s operations, including our own team in Dublin, as well as various...
-
Product Analyst
4 months ago
Westlake, United States Fidelity TalentSource LLC Full timeSPS Senior Product Analyst The Senior Product Analyst works within the Fidelity Workplace Investing Agile Model as a member of the SPS Customer Solutions Chapter. Senior Product Analysts are tasked with collaborating with Product Area Leads, Initiative Leads and Squad Leads to elicit, document, and translate high complexity business requirements into Agile...
-
Project Cost Analyst
3 weeks ago
Westlake, Louisiana, United States Burrow Global Services, LLC Full timeProject Controls Cost AnalystBurrow Global Services, LLC is seeking a highly skilled Project Controls Cost Analyst to join our team in Lake Charles, LA.About the Role:We are looking for a detail-oriented and analytical individual to play a crucial part in controlling costs, schedules, and scopes for major capital projects up to $50 mm. As a Project Controls...
-
Systems Analyst
2 months ago
Westlake, United States Fidelity TalentSource LLC Full timeFidelity TalentSource is your destination for discovering your next temporary role at Fidelity Investments. We are currently sourcing for a Systems Analyst to work in the Core Brokerage Platform Technology Group within Fidelity Investments Westlake. The Role We are seeking an expert with relevant technical skills in modern technologies and financial...
-
Project Cost Analyst
4 weeks ago
Westlake, Louisiana, United States Burrow Global Services, LLC Full timeJob Title: Project Control Cost AnalystBurrow Global Services, LLC is seeking a highly skilled Project Control Cost Analyst to join our team in Lake Charles, LA.Job Summary:We are looking for a detail-oriented and analytical individual to play a crucial role in controlling costs, schedules, and scopes for major capital projects up to $50 million. As a...
-
Specialist, Core Service
2 days ago
WESTLAKE, United States Charles Schwab Full timePosition Type: RegularYour opportunityAs a Global Services Representative, you will service international (non-US residents) and domestic clients with all a full range of service and trading needs. You will work in a collaborative, fast-paced environment to assist with trading stocks, ETFs, mutual funds and options in addition to general account servicing...
-
Specialist, Core Service
1 day ago
WESTLAKE, United States Charles Schwab Full timePosition Type: RegularYour opportunityAs a Global Services Representative, you will service international (non-US residents) and domestic clients with all a full range of service and trading needs. You will work in a collaborative, fast-paced environment to assist with trading stocks, ETFs, mutual funds and options in addition to general account servicing...
-
Client Services Associate
3 weeks ago
Westlake Village, United States Stratos Wealth Partners Full timeClient Services AssociateWestlake Village, CAStratos Wealth Partners provides advisors and their clients with a diverse wealth management experience. One that effectively elevates all aspects of the financial and investment management experience for clients seeking more personalized concierge level service. Stratos' advisors provide access to a wide range of...
-
Senior Financial Planning Analyst
3 weeks ago
Westlake Village, California, United States Western Alliance Bank Full timeJob Title: Senior Financial Planning AnalystJoin Western Alliance Bank's Corporate Finance team as a Senior Financial Planning Analyst. This challenging role requires complex problem-solving skills, attention to detail, and the ability to work through ambiguous situations.Key Responsibilities:Develop a thorough understanding of mortgage concepts and...
-
Client Service Associate
2 weeks ago
Westlake Village, United States Stratos Wealth Partners Full timeClient Service AssociateWestlake Village, CAStratos Wealth Advisors provides advisors and their clients with a diverse wealth management experience, offering a personalized, concierge-level service that elevates all aspects of financial and investment management. Our advisors have access to a wide range of financial products and strategies without the...
-
Client Services Associate
2 weeks ago
Westlake Village, United States Stratos Wealth Partners Full timeClient Services AssociateWestlake Village, CA Stratos Wealth Advisors provides advisors and their clients with a diverse wealth management experience. One that effectively elevates all aspects of the financial and investment management experience for clients seeking more personalized concierge level service. Stratos' advisors provide access to a wide range...
-
GIS Analyst
3 weeks ago
Westlake Village, California, United States Stantec Full timeJob Title: GIS AnalystStantec is seeking a highly skilled GIS Analyst to join our team in the Environmental Services business operating unit. As a GIS Analyst, you will be responsible for providing GIS services to external and/or internal clients in a shared services environment.Key Responsibilities:Serve as the GIS lead on both small and large-scale...
-
Westlake, United States Charles Schwab Full timePosition Type: Regular Your opportunity As a Global Services Representative, you will service international (non-US residents) and domestic clients with all a full range of service and trading needs. You will work in a collaborative, fast-paced environment to assist with trading stocks, ETFs, mutual funds and options in addition to general account servicing...
-
Senior Systems Services Analyst
2 weeks ago
Westlake, Ohio, United States Fidelity TalentSource LLC Full timeJob Title: Senior Systems Services AnalystJob Summary:Fidelity Investments is seeking a highly motivated and detail-oriented Senior Systems Services Analyst to join our team. As a key member of our Legal Department, you will be responsible for managing, monitoring, and responding to multiple requests for preservation and collection of electronically stored...
-
Business Analyst
2 months ago
Westlake, United States Fidelity TalentSource LLC Full timeDeployment Analyst, Solutions Office – Workplace Investing Interested in a role within a dynamic, evolving, and customer focused organization? Join us as we accomplish our vision to drive ease of doing business for the associates and clients we serve. The Deployment Analyst implements go-to-market deployment strategies for all WI products, services, and...
-
Client Service Associate
4 weeks ago
Westlake, United States Stifel Financial Full timeSummary Under immediate supervision, Client Services Associate, Registered, assists one or more Financial Advisor(s) (FA(s)) with the opening and maintenance of client accounts and records, performs a wide variety of administrative support duties, including but not limited to, word processing, preparing mailings, filing, answering the phone, obtaining...