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Brokerage Analyst, Restricted Stock Services

2 months ago

Westlake, United States Fidelity TalentSource LLC Full time



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 working model blends the best of working offsite with maximizing time together in person to meet associate and business needs. Currently, most hybrid roles require associates to work onsite all business days of one assigned week per four-week period (beginning in September 2024, the requirement will be two full assigned weeks).

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.