Director, Restricted Stock Services

Job Description : The Role

The Role

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.

You will provide supervision, mentorship, education to your team.

The Expertise and Skills You Bring

• Bachelor s Degree preferred
• 8-10 years of operations and / or financial services experience
• Series 7 and 24 preferred (or dedication to acquire within 180 days)
• Experience with trading securities
• General understanding of New Account procedures
• Understanding of Securities Processing operations and Broker / Dealer Compliance policies and procedures
• Experience with SEC filings (10Q, 10K, Form 4, 13D and G, S-1 and S-3 s) and SEC regulations regarding restricted / control transactions
• Familiarity with Rule 10b5-1 trading plan implementation and administration.
• Knowledge of the Brokerage and / or Custody industry
• Supporting business partners needs, while maintaining a u201Cclient first u201D mentality and compliance with firm policy and SEC regulations
• Providing service to all our clients by processing their requests in an accurate and timely manner.
• Actively participate in client meetings, both existing and prospective.
• Driving innovation through curiosity and comprehensive understanding of business processes and challenges.

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.

Transactions tend to be high dollar amounts and / or large share quantities making speed, accuracy and compliance paramount to our processes.

It is imperative that we provide an excellent client experience that can then be built upon by our business partners.

The base salary range for this position is $85,000-$144,000 per year. u00A0

Placement in the range will vary based on job responsibilities and scope, geographic location, candidate s relevant experience, and other factors.

Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation. u00A0 u00A0

We offer a wide range of

benefits

to meet your evolving needs and help you live your best life at work and at home. u00A0These 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.

u00A0Note, the application window closes when the position is filled or unposted.

Certifications : Company Overview

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

[email protected]