Ultra High Net Worth Executive Financial Services Rule bStrategy Associate

Department Profile

Executive Financial Services ("EFS") supports transactions involving restricted or control stock, often-involving Rule 144 Affiliates and Corporate Insiders. These transactions include Rule 10b5-1 Trading Plans, sales under Rule 144 or pursuant to prospectus registration, margining, hedging, gifting or legend removals for restricted stock. EFS conducts due diligence with issuer counsel prior to the transaction, negotiates and implements 10b5-1 contracts (including trade execution pursuant to the plan) and facilitates SEC filings, clearing and settlement of restricted trades.

An important part of the service provided by EFS includes education and guidance to Financial Advisors ("FAs"), branch management and issuer counsel/corporate clients on SEC rules and operational considerations. Our 10b5-1 team is #1 in our industry and seeks to provide affirmative defense solutions for trading plans for top executives and affiliates.

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 FAs 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.

• 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.

At Morgan Stanley, we raise, manage and allocate capital for our clients—helping them reach their goals. We do it in a way that’s differentiated—and we’ve done that for 90 years. Our values—putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back—aren’t just beliefs, they guide the decisions we make every day to do what’s best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries.

At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work‑life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.

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