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E*TRADE from Morgan Stanley · 2 months ago

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

New York, New York, United States of America

Full-time

Onsite

New Grad, Entry Level

$80K/yr - $100K/yr

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 management of 10b5-1 trading plans and enhancing strategy and analysis for the UHNW Desk and broader EFS Department.

BankingFinanceFinancial Services

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

Qualification

Capital Markets experienceFINRA Licenses Series 7 & 63Microsoft Excel proficiencyMicrosoft PowerPoint proficiencyInvestment Banking experienceWealth Management experienceCustomer service attitudePresentation skillsNegotiation skillsOral communicationWritten communicationSelf-motivator