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Job description
Position Summary and Responsibilities
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.
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 financial advisors and clients (sellers) on the best way to execute or effect a trade schedule for an individual client.
Review legal documents with an eye to manage risk and 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). Quickly develop a full understanding of how each group interacts.
Assist the department in helping analyze how to expand the UHNW 10b5-1 Desk to additional advisors and expand beyond a 10b5-1 service, coordinating with Global Capital Markets, Private Wealth Management and Family Office Resources.
Lead on strategic initiatives, develop PowerPoint presentations and deliver analysis and vision to senior leaders.
Qualifications
Prior experience in Capital Markets, Investment Banking/Origination, or Wealth Management.
FINRA Licenses: Series 7 & 63 required; sponsor for Series 57 Exam.
Strong presentation, negotiation, oral and written communication skills.
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.
Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
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Worksite address
sandy, UT, 84092, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.