Wealth Management, Restricted Stock / 10b5-1 Specialist , Vice President

Job Description

About Strategic Equity Solutions / Restricted Stock Group

Strategic Equity Solutions (SES) provides holistic advice and execution for clients with large, concentrated equity positions, leveraging the breadth of JPMorganChase capabilities. The Restricted Stock Group (RSG) helps advisors and clients navigate affiliation and restrictions (including control stock, Rule 144 transactions, lockups, and related diligence/documentation) and delivers coordinated execution across internal and external partners.

The Restricted Stock / 10b5-1 Specialist (VP/ED) is a subject-matter expert responsible for advising Wealth Management teams and clients on U.S. regulatory considerations and execution strategy for restricted/control securities and Rule 10b5-1 plans. The role leads diligence and documentation, partners directly with issuer counsel and internal legal/compliance partners, and drives end-to-end execution across selling, pledging, hedging, gifting, and wealth transfer strategies—while ensuring adherence to all applicable regulations and firm policies.

Job Responsibilities

• Advisory coverage 
  • Serve as the point of contact for advisors and stakeholders on requirements, approvals, and best practices for transactions involving restricted/control securities and insiders.
  • Provide judgment on complex or sensitive situations (e.g., concentration risk, liquidity constraints, issuer restrictions, lockups, heightened scrutiny names) and escalate appropriately.
• 10b5-1 plan structuring and governance
  • Lead client/advisor discussions to define objectives and translate them into clear, executable selling parameters appropriate for the security’s trading characteristics.
  • Draft and refine trading terms to ensure they accurately reflect client intent and are operationally executable, with minimal ambiguity.
  • Coordinate and drive alignment across internal counsel, issuer General Counsel, client counsel, and other involved advisors through final execution readiness.
  • Oversee post-launch administration, including trade-report communications and ongoing plan support in accordance with established procedures.
• Restricted/control securities diligence and Rule 144 execution
  • Own the due diligence process with issuer counsel for sales, margin loans/credit, derivatives/hedging structures, gifting, wealth transfer strategies, and executive equity activity (including option exercises).
  • Ensure Rule 144 compliance, including Form 144 preparation/filing workflow (as applicable) and monitoring volume limitations and other conditions of sale.
  • Provide guidance on legend/restriction removal pathways and lead coordination among issuer counsel, transfer agents (where applicable), and internal Operations/Settlements.
• Execution oversight and cross-functional coordination
  • Drive seamless execution by partnering with trading/execution, legal, compliance/risk, operations/settlements, and advisor teams.
  • Anticipate bottlenecks (documentation, issuer turnaround, operational lead times) and actively manage timelines for time-sensitive transactions.
• Controls, policy adherence, and risk management
  • Ensure strict adherence to internal policies regarding securities transactions, information barriers, recordkeeping, and code of conduct.
  • Identify process/control gaps, recommend enhancements, and support risk/compliance initiatives impacting restricted stock and 10b5-1 activity.
• Teamwork and capability building
  • Support training and internal education for advisors and partners.
  • Contribute to strategic initiatives and ad hoc projects related to market trends, insider activity, product development, and operational efficiency.

 

Required Qualifications, Capabilities, and Skills

• Relevant experience (typically 3+ years) in restricted stock, Rule 144, 10b5-1 plan execution/administration, equity markets, or a related role supporting concentrated equity positions
• Demonstrated ability to lead complex, multi-stakeholder processes involving issuer counsel and internal control functions
• Strong judgment, execution discipline, and the ability to manage confidential, high-sensitivity matters
• Excellent written/verbal communication skills; ability to translate regulatory requirements into practical guidance
• Strong organization and prioritization skills in a deadline-driven environment
• FINRA Series 7 and Series 63 (required)
• Bachelor’s degree

 

Preferred Qualifications, Capabilities, and Skills

• Deep expertise in Rule 144, control stock, affiliate/non-affiliate analysis, lockups, and insider-related trading constraints
• Experience with equity compensation / stock plan administration and executive transaction workflows
• Familiarity with concentrated position strategies and instruments (e.g., 10b5-1 plans, block trades, OTC derivatives/hedging, exchange funds, bespoke liquidity solutions)
• Prior experience partnering with private wealth advisors, private banking, or corporate issuer stakeholders

About Us

JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process. 

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our  FAQs for more information about requesting an accommodation.

JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans

About the Team

J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.​