Ultra High Net Worth Executive Financial Services Rule 10b5-1 Strategy 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 the 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. General Functions Include 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. Qualifications 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. What You Can Expect From Morgan Stanley We pride ourselves on offering some of the most attractive and comprehensive employee benefits and perks in the industry. Expected base pay rates for the role will be between $80,000–$100,000 per year at the commencement of employment. Base pay, if hired, will be determined on an individualized basis and is only part of the total compensation package, which may also include commission earnings, incentive compensation, discretionary bonuses, other short‑ and long‑term incentive packages, and other Morgan Stanley‑sponsored benefit programs. Equal Employment Opportunity Statement Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet). It is the policy of the firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. #J-18808-Ljbffr 6AM City, LLC