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Director, Restricted Stock Services
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$85,000 - $144,000 a year
Full-time
- As a Director in the Restricted Stock Services (RSS) team, you will be primarily responsible for assisting with leading the RSS team members who support clients (brokerage firms and investment advisors) in selling restricted / control securities for their client's pursuant to SEC regulations and insider trading rules, when applicable.
- This is a small but highly motivated team of professionals delivering excellent service with a keen eye towards regulatory compliance.
- Understanding of Securities Processing operations and Broker/Dealer Compliance policies and procedures
- 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.
- These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career.
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