Ultra High Net Worth Executive Financial Services Rule 10b5-1 Strategy Associate

Morgan Stanley • Sandy, UT

1d • Onsite

About The Position

Morgan Stanley is a leading global financial services firm offering investment banking, securities, investment management, and wealth management services. The Executive Financial Services (EFS) department specializes in transactions involving restricted or control stock, including Rule 10b5-1 Trading Plans, Rule 144 sales, margining, hedging, gifting, and legend removals. EFS conducts due diligence with Issuer counsel, negotiates and implements 10b5-1 contracts (including trade execution), and facilitates SEC filings, clearing, and settlement of restricted trades. A key aspect of EFS service is providing education and guidance to Financial Advisors (FAs), branch management, and issuer counsel/corporate clients on SEC rules and operational considerations. The 10b5-1 team is a market leader, providing affirmative defense solutions for trading plans for top executives and affiliates. As an Ultra High Net Worth (UHNW) Rule 10b5-1 Strategy Associate, this role involves providing white glove adoption and trade management of 10b5-1 trading plans and enhancing strategy and analysis for the UHNW Desk and the broader EFS Department. The ideal candidate should have proven experience in providing concierge-type service to Issuers, clients, advisors, or partners, along with strong data analysis and Microsoft Office skills.

Requirements

• Prior experience in Capital Markets, Investment Banking/Origination, Wealth Management.
• FINRA Licenses: Series 7 & 63 required.
• Strong presentation, negotiation, oral and written communication.
• High proficiency with Microsoft Excel and PowerPoint.
• Self-Motivator, ability to learn independently and work free from immediate supervision.
• Positive and professional customer service attitude.

Nice To Haves

• Will sponsor for Series 57 Exam.

Responsibilities

• Develop and maintain a high level of knowledge in various SEC Rules: 10b5-1, Rule 144, 10b-18, Section 16, etc. and corporate equity plans: option exercises, restricted stock vests, SARS and related administration.
• Maintain EFS records on Rule 10b5-1 trading plans and file Rule 144 Forms with the SEC as required.
• Provide educational support and trade schedule advice to FA’s and clients (sellers) on the best way to execute/effect a trade schedule for an individual client (seller).
• Review legal documents with an eye to manage risk and have the ability to identify and present issues (as appropriate) to Legal and EFS management.
• Work closely with Stock Plan Directors, Financial Advisors, Technology, Legal Department & Compliance and Strategic Client Management (the liaison between wealth management and MS’s investment bank). Must quickly develop a full understanding of how each group interacts.
• Work with Department to help analyze how to expand the UHNW 10b5-1 Desk to additional advisors and expand beyond a 10b5-1 service. This will require coordination with Global Capital Markets, Private Wealth Management and Family Office Resources.
• Ability to lead on strategic initiatives, develop PowerPoint presentations and deliver analysis and vision to senior leaders.

Benefits

• Some of the most attractive and comprehensive employee benefits and perks in the industry.
• Ample opportunity to move about the business for those who show passion and grit in their work.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed
• Number of Employees: 5,001-10,000 employees