10b5-1 Executive Stock Plan Specialist – Concierge Service

711 MS Smith Barney, LLC; United States; On-site; USD 70,000 - 100,000; Full time

Job summary

Morgan Stanley’s Executive Services Specialist will manage adoption, implementation and ongoing administration of 10b5-1 trading plans for senior executives. This role serves as the face of EFS/Shareworks to top clients, requiring daily interaction with executive teams, advisors and internal partners to deliver concierge‑level service while upholding privacy and compliance.

New York based role with base pay between $70,000 and $100,000 per year, plus incentives and comprehensive benefits.

Qualifications

• Bachelor’s degree required with strong academic record.
• SIE, Series 7 and Series 63 licenses required.
• MBA, CFA, CEP or ECA designation preferred.
• Proficiency with Microsoft Excel and PowerPoint.
• Prior experience in Capital Markets, Investment Banking/Origination, Wealth Management, Executive Services or Stock Plan Administration preferred.
• Demonstrated success supporting high-touch, executive clients.
• Strong communication, negotiation and problem-solving skills.

Responsibilities

• Serve as primary contact for executive participants, issuer teams, Financial Advisors and cross-functional partners on 10b5-1 plans and related equity plan matters.
• Provide high-quality support via calls and email, maintain accurate EFS records and documentation of trading plans.
• Lead 10b5-1 plan implementation discussions with clients, advising on plan structuring and trade schedules.
• Support complex restricted stock and equity transactions including Rule 144 filings, gifting and settlement.
• Develop knowledge of SEC rules (10b5-1, 144, 10b-18, Section 16) and educate FAs and clients.
• Identify opportunities to improve efficiency, service delivery, and risk management.
• Support issuer and client prospects, speaking engagements and conferences.

Skills

SIE license

Series 7

Series 63

Bachelor's degree

Excel

PowerPoint

Capital Markets

Executive Services

Education

Bachelor's degree

MBA / CFA / CEP / ECA (preferred)

Tools

Microsoft Office

Job description

Morgan Stanley’s Executive Services Specialist will manage adoption, implementation and ongoing administration of 10b5-1 trading plans for senior executives. This role serves as the face of EFS/Shareworks to top clients, requiring daily interaction with executive teams, advisors and internal partners to deliver concierge‑level service while upholding privacy and compliance.

New York based role with base pay between $70,000 and $100,000 per year, plus incentives and comprehensive benefits.