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

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Ultra High Net Worth Rule 10b5-1 Strategy Associate will be responsible for the white glove adoption and trade management of 10b5-1 trading plans and enhancing strategy and analysis for the UHNW Desk and broader EFS Department.

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