Ultra High Net Worth Executive Financial Services Rule bStrategy Associate

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.

• 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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