Executive Financial Services, Ultra High Net Worth Associate

Morgan Stanley•New York, NY

4d•$80,000 - $100,000•Onsite

About The Position

Morgan Stanley's Executive Financial Services (EFS) department specializes in products and transactions involving restricted or control stock, catering to Rule 144 Affiliates, Corporate Insiders, and large shareholders. These services include sales under Rule 144, lending, hedging, gifting, and Rule 10b5-1 Trading Plans. EFS focuses on assisting clients with liquidity needs by navigating complex capital markets and SEC regulations. The department conducts due diligence with Issuer counsel, implements 10b5-1 contracts, and facilitates SEC filings, clearing, and settlement of restricted trades. EFS at Morgan Stanley at Work is a leader in providing these services to Ultra High Net Worth (UHNW) executives, directors, and large shareholders, acting as subject matter experts within the Firm. The role involves educating Financial Advisors (FAs), clients, and corporate clients on SEC rules, capital markets, and operational aspects, while liaising with internal departments such as Legal, Compliance, Risk, Structured Products, Private Bank, and Stock Plan services.

Requirements

Prior experience in Capital Markets, Investment Banking/Origination, Wealth Management or other role in finance.
FINRA Licenses: Series 7 & 63 required.
Strong presentation, negotiation, oral and written communication skills.
Detail oriented with superior organizational skills.
Great analytical and deductive skills.
Proficiency with Microsoft Excel and PowerPoint.
Self-Motivator, ability to learn independently and work free from immediate supervision.
Positive, proactive, and professional customer service attitude.
Ability to operate in a time sensitive manner in a high-paced environment while managing balancing priorities.
Willingness to work off hours and check emails during busy cycles.

Nice To Haves

Experience with Rule 144, capital markets transactions, and general understanding of different types of products offered to clients who are affiliates of public companies.
Experience with general wealth management functions and divisions such as operations, lending, stock plan administration, and trading.
Certified Equity Professional (CEP) or Equity Compensation Associate (ECA) designations.
MBA or CFA or progress toward either.
Data analysis skills / experience.
Project management experience.
AI agent building.

Responsibilities

Guiding advisors, their clients, and Issuers through the EFS and Capital Markets process, including origination, execution, and settlement.
Developing solutions for clients and performing due diligence on transactions related to restricted/control securities and IPO transactional support.
Adopting and managing 10b5-1 trading plans for new and established Issuers, providing white glove service to clients.
Providing B2B and B2C coverage for IPO & Origination Support, partnering with FAs and PWAs to develop liquidity solutions involving restricted/control securities.
Providing education and execution support to FAs and clients (sellers), including transaction process guidance and trade schedule considerations.
Leading Rule 10b5-1 plan implementation and onboarding with PWAs, issuers, and clients (sellers), including plan structuring and trade schedule design.
Supporting negotiation and onboarding of issuer 10b5-1 documentation, including coordination of trade schedules and due diligence.
Managing restricted/control transactions end-to-end, validating transaction requests and supporting documentation for accuracy and applicability of Rule 144 and resale under applicable registration statements.
Conducting due diligence with issuer/company legal teams and internal partners; facilitating clearance and settlement of restricted shares, supporting required public filings, and maintaining electronic transaction records.
Serving as a central point of contact across EFS specialist teams and key partners to coordinate crossover transactions, market updates, trading strategy, and volume discussions.
Maintaining a strong working knowledge of applicable SEC rules and corporate equity plans.
Identifying and driving operational enhancements that improve efficiency, strengthen controls, and reduce risk.
Reviewing legal documentation with a risk lens and escalating issues to Legal and EFS management.