Senior Manager, Executive Services (10b5-1)

  • Not Specified
  • Alpharetta, GA, USA
  • Permanent, Full time
  • E Trade Financial
  • 21 Feb 18 2018-02-21

THE COMPANY E*TRADE is a leading financial services company and a pioneer in the online brokerage industry. Having executed the first-ever electronic trade by an individual investor more than 30 years ago, the company has long been at the forefront of the digital revolution, offering


THE COMPANY

E*TRADE is a leading financial services company and a pioneer in the online brokerage industry. Having executed the first-ever electronic trade by an individual investor more than 30 years ago, the company has long been at the forefront of the digital revolution, offering easy-to-use solutions for individual investors and stock participants. Founded on the principle of innovation and determined to level the playing field for individual investors, E*TRADE delivers digital platforms, tools, and professional assistance to help investors and traders meet their near-and long-term investing goals. The Company provides these services both online and through its network of customer service representatives and financial consultants - over the phone at two national branches and in-person at 30 E*TRADE branches.

The Executive Services Senior Manager is responsible for the direct oversight and supervision of the Executive Services Specialist / Relationship Manager daily activities including inbound/outbound calls, business development, 10b5-1 plan administration and high value client book management. This person is responsible for ensuring the team is providing a concierge experience to executive level corporate services' participants, while achieving asset growth / retention / satisfaction targets and operational efficiency. The candidate must stay abreast of rules and regulations that govern Rule 10b5-1, Section 16 / Rule 144 insiders, and work closely with senior management to implement best practices to ensure compliance. The ideal candidate must be able to effectively communicate with senior level executives and key decision makers of E*TRADE's corporate client base.

Effectively manage the process for facilitation, design, implementation, trading, and daily monitoring of executive client 10b5-1 Trading Plans

Develop a high performing concierge team through mentoring, coaching and motivating

Manage the employment, career development, training, performance, compensation and motivation of the Executive Services / 10b5-1 team

Provide leadership to ensure the team delivers a high level of satisfaction for Corporate Services clients /executive level participants and meet all departmental goals

Establish strategic direction on operations, policy, and program development

Monitor work procedures and productivity of the Executive Services -10b51 Group to ensure that all

WSP, compliance, and external regulatory requirements are constantly and sufficiently met

Work effectively with demanding Stock Plan Administrators, General Counsels and key decision makers.

Handle Corporate Services Clients / executive level participants escalated issues to final resolution

Ability to interact with clients on an advanced level regarding sales activities, account information,procedures, systems, and our expanding range of financial services products.

Maintain daily interaction with corporate options surrounding option exercises, sales and related administration.

Be comfortable and effective discussing financial needs with highly affluent individuals on daily basis.

REQUIREMENTS

Strong familiarity with Rule 144 and 10b51 plans is highly preferred

5-7 years' experience in a demanding Operational environment with proven results, including at least 3 years management experience.

Outstanding presentation, negotiation, oral and written communication skills

Strong ability to build relationships-both internally and externally

Positive and professional customer service attitude and capability

Advanced knowledge of the securities industry including corporate equity compensation plans

Thorough understanding of all E*TRADE FINANCIAL product, service and advice offerings

Ability to engage business partners in other departments to work collectively to exceed Corporate client and senior executive unique demands, while strengthening the overall corporate relationship by delivering a high level of satisfaction for Corporate Services Clients / executive level participants

EDUCATION, CERTIFICATION, TRAINING

Series 7, 63 and 24 REQUIRED

Series 66 preferred

Must obtain Series 24 license within 90 days of appointment.

Must become certified with CEE within three months, CEP Level 1 within 12 months and CEP Level 2 within 18 months.

Education or training equivalent to a Bachelor's Degree

ETRRSR

BENEFITS

We offer a competitive and comprehensive benefits package. Please visit https://etradecareers.com/why-work-at-etrade/employee-benefits to learn more about the opportunities.

E*TRADE Financial is an Equal Opportunity Employer who encourages diversity in the workplace. All qualified applicants will receive consideration for employment without regard to race, color, national origin, religion, sex, age, disability, citizenship, marital status, sexual orientation, gender identity, military or protected veteran status, or any other characteristic protected by applicable law.