Ultra High Net Worth Executive, Financial Services, Rule 10b5-1 Strategy Associate
Morgan Stanley
full-time
Posted on:
Location Type: Office
Location: Purchase • New York • Utah • United States
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Salary
💰 $80,000 - $100,000 per year
About the role
- Responsible for the white glove adoption and trade management of 10b5-1 trading plans.
- Enhance strategy and analysis for the UHNW Desk and broader EFS Department.
- Develop and maintain a high level of knowledge in various SEC Rules and corporate equity plans.
- Provide educational support and trade schedule advice to FA’s and clients on executing trade schedules.
- Review legal documents to manage risk and present issues to Legal and EFS management.
- Work closely with various departments for strategic initiatives and expansion of services.
Requirements
- 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.
Benefits
- Comprehensive employee benefits and perks
- Health insurance
- Retirement plans
- Professional development opportunities
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
trade managementSEC Rulescorporate equity plansrisk managementpresentation skillsnegotiation skillsoral communicationwritten communicationMicrosoft ExcelMicrosoft PowerPoint
Soft Skills
self-motivatorindependent learningcustomer service attitude
Certifications
FINRA Series 7FINRA Series 63FINRA Series 57 (sponsorship available)