Executive 10b5-1 Trading Plan Specialist

Morgan Stanley; Purchase (NY); On-site; USD 70,000 - 100,000; Full time

Job summary

Morgan Stanley in New York seeks an Executive Services Specialist to oversee the adoption and management of 10b5-1 trading plans for senior executives and issuers, delivering high‑touch, confidential service. You will interact daily with C‑Suite clients and internal partners, ensure privacy and regulatory compliance, and keep detailed records while improving processes.

Requires SIE, Series 7 and Series 63 licenses; a bachelor’s degree is required; MBA/CFA preferred; base pay ranges from $70k to

Qualifications

• Bachelor’s degree required.
• Current SIE, Series 7 and Series 63 licenses required.
• MBA, CFA, CEP or ECA designation preferred.

Responsibilities

• Serve as a primary contact for executive-level participants and cross-functional partners on 10b5-1 plans and related equity matters.
• Provide high-quality, responsive support via calls and email, maintain accurate records, and document trading plans.
• Lead 10b5-1 plan implementation discussions with Issuers and clients, advising on plan structuring and schedules.

Skills

SIE license

Series 7

Series 63

Client service

Communication

Excel

PowerPoint

Capital Markets

Education

Bachelor’s degree

MBA/CFA preferred

Tools

Excel

PowerPoint

Job description

Morgan Stanley in New York seeks an Executive Services Specialist to oversee the adoption and management of 10b5-1 trading plans for senior executives and issuers, delivering high‑touch, confidential service. You will interact daily with C‑Suite clients and internal partners, ensure privacy and regulatory compliance, and keep detailed records while improving processes.

Requires SIE, Series 7 and Series 63 licenses; a bachelor’s degree is required; MBA/CFA preferred; base pay ranges from $70k to