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

Morgan Stanley • New York, NY

1d • $80,000 - $100,000

About The Position

As an Ultra High Net Worth (UHNW) Rule 10b5-1 Strategy Associate, this person will be responsible for the white glove adoption and trade management of 10b5-1 trading plans and enhance strategy and analysis for the UHNW Desk and broader EFS Department. The ideal candidate should have proven experience with providing a concierge type service to Issuers, clients, advisors or partners and strong data analysis and Microsoft Office skills.
General Functions Include:
- 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.

Requirements

• Prior experience in Capital Markets, Investment Banking/Origination, Wealth Management.
• FINRA Licenses: Series 7 & 63 required. Will sponsor for Series 57 Exam.
• 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.

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.

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