Executive Financial Services, Ultra High Net Worth Associate

Morgan Stanley•New York, NY

4d•Hybrid

About The Position

Morgan Stanley is a leading global financial services firm. The Executive Financial Services (EFS) department supports products and transactions involving restricted and/or control stock, often for Rule 144 Affiliates, Corporate Insiders, and large shareholders. These transactions include sales under Rule 144 or pursuant to prospectus registration, lending, hedging, gifting, or Rule 10b5-1 Trading Plans. EFS at Morgan Stanley at Work is the industry leader in services for Ultra High Net Worth (UHNW) executives, directors, and large shareholders. As part of the department, the role includes education to Financial Advisors (FAs), clients, and issuer counsel/corporate clients on SEC rules, capital markets, and operational considerations. You will liaise with Home Office colleagues such as Legal, Compliance, Risk, Structured Products, Private Bank, Stock Plan services and Senior MS Management. As an EFS UHNW Associate, you will be responsible for guiding advisors, their clients and Issuers through each step of the EFS and Capital Markets process; origination, execution and settlement. As part of the UHNW Executive Financial Services Team, you will devote your time to developing solutions for clients and performing due diligence on transactions related to restricted and/or control securities and other IPO transactional support. Additionally, this position will also be responsible for the adoption and management of 10b5-1 trading plans for new and established Issuers, while maintaining a white glove service to our clients. The ideal candidate must have proven experience speaking to senior level executives and providing a concierge type service to Issuers, clients, advisors and partners throughout the Firm.

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.
Detail oriented with superior organizational skills.
Great analytical and deductive skills that guide you in efficient and successful outcomes.
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.
Excited 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 preferred
Experience with general wealth management functions and divisions such as operations, lending, stock plan administration, and trading preferred
Certified Equity Professional (CEP) or Equity Compensation Associate (ECA) designations preferred
MBA or CFA or progress toward either is helpful
Data analysis skills / experience
Project management experience
AI agent building

Responsibilities

Partner with FAs and PWAs to develop liquidity solutions involving restricted/control securities, including readiness for IPO/M&A/liquidity events across B2B (corporate) and B2C (individual) channels; continuously improve processes to deliver a seamless client experience.
Provide education and execution support to FAs and clients (sellers), including transaction process guidance and trade schedule considerations aligned with market/liquidity dynamics and operational readiness; proactively identify EFS opportunities and support advisor business development efforts.
Lead Rule 10b5-1 plan implementation and onboarding with PWAs, issuers, and clients (sellers), including plan structuring and trade schedule design considerations (tax, legal, market, and optics).
Support negotiation and onboarding of issuer 10b5-1 documentation, including coordination of trade schedules and due diligence.
Manage 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, including nuanced scenarios such as hedging and pledging securities as collateral for lending.
Conduct due diligence with issuer/company legal teams and internal partners; facilitate clearance and settlement of restricted shares, support required public filings, and maintain electronic transaction records in proprietary books-and-records systems.
Serve as a central point of contact across EFS specialist teams (Restricted/Control and 10b5-1) and key partners (WM Capital Markets/Trade Desk, Stock Plan Directors, Financial Advisors, Legal, Risk, Compliance, Technology, Morgan Stanley at Work colleagues, and Strategic Client Management) to coordinate crossover transactions, market updates, trading strategy, and volume discussions.
Maintain strong working knowledge of applicable SEC rules (including Rule 144, 10b-18, Section 16, and Rule 10b5-1) and corporate equity plans (option exercises, restricted stock vesting, SARs, and related administration).
Identify and drive operational enhancements that improve efficiency, strengthen controls, and reduce risk; leverage firm AI tools and resources where appropriate.
Review legal documentation with a risk lens and escalate issues to Legal and EFS management as needed.