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 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 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 the 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.

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.
Our workforce reflects a broad cross‑section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
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