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Manager, Executive Services
Carmel, CA
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Job Description
Manager, Executive Services
Location Carmel, CA, US
Organization Name E*TRADE
Company Overview
In 1983, the first online trade was placed using early E*TRADE technology. Today, E*TRADE FINANCIAL is a global financial leader, delivering value and innovation to millions of customers in more than 40 countries worldwide.
We are looking for dynamic, highly energized risk-takers who are ready to join a fast-paced, world leader in the financial services industry. We move at the speed of the Internet. Our work culture fosters an incredible exposure to innovative ideas and challenges that create experience and opportunity. Many have risen through the organization to become industry leaders, in both the financial services world and in the community at large. E*TRADE is made up of some of the brightest and most talented people in the industry - are you ready to join the industry leader?
Detailed Description
Manager, Executives Services
Corporate Client Services
The Executive Services Manager is responsible for the direct oversight and supervision of the specialist’s daily activity; primarily the administration of the firm’s 10b51 offering. This includes all trade entry, recordkeeping, regulatory filings, and daily reporting to senior level personnel of E*TRADE corporate clients. The Executive Service team is primarily dedicated to executive level insiders subject to Section 16 / Rule 144 and the manager must ensure that the team is providing a concierge experience for this valued client base. The candidate must stay abreast of stringent industry rules and regulations and work closely with E*TRADE’s senior management, legal counsel (internal / external) to implement best practices to remain compliant. As the designated principal, the Executive Services Manager will be required to ensure compliance with firm and regulatory policy and procedures.
The following competencies are necessary for success in the Executive Services Manager position:
Ability to effectively communicate with executive level clients and key decision makers of our corporate client base on policy / procedures, related sales activity, systems, and our full breadth of products and services.
Ability to leverage industry knowledge, sales experience to influence the growth of 10b51 trading plans and the retention of proceeds from related transactions.
Maintain highest service standards in support of the “white glove” concierge experience required by executive level clients.
Ability to ensure all 10b51 plans are administered according to firm and industry, policies / procedures and best practices.
Proven ability to successfully drive toward departmental goals and identify best practices to ensure operational efficiency.
Responsible for providing leadership to ensure the team also provides a high level of customer satisfaction while meeting all departmental goals.
Provide strategic directions on operational issues, various policy and program development, monitor daily work procedures and productivity and assist in escalated problem resolution.
Be comfortable and effective in working with demanding Stock Plan Administrators
Maintain daily interaction with corporate participants surrounding equity compensation / 10b51 transactions and related administration. As well as discussing financial needs with these highly affluent individuals.
Ability to provide expert handling of large block transactions in accordance with Rule 144 and industry regulations.
Job Requirements
Requirements:
Series 7 and 63 REQUIRED
Series 24 preferred. Must obtain within 90 days of appointment.
Must become certified with CEE with six months, CEP Level 1 within 12 months
CEP Level 2 within 18 months
Education or Training Equivalent to: BA/BS
3 years experience in a demanding financial sales environment with proven results, including at least 2 years management experience.
Outstanding 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 and service offerings.
Ability to leverage colleagues in other departments to work collectively to exceed client demands.
Be able to apply advanced selling techniques to create a compelling rationale for use of E*TRADE FINANCIAL products and services.
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Experience Required
5 plus years
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Last Update
May 27, 2008
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