Executive Stock Plan & 10b5-1 Specialist

Morgan Stanley; Sandy Hills (UT); On-site; USD 70,000 - 100,000; Full time

Job summary

Morgan Stanley is seeking an Executive Services Specialist to manage 10b5-1 trading plans and restricted stock transactions for senior executives and issuers. Daily interaction with C‑Suite clients, issuer teams and advisors is required, with a focus on privacy, compliance and concierge-level service.

The role requires licensing (SIE, Series 7, Series 63) and familiarity with SEC rules. Strong client-service orientation and cross-functional collaboration are essential in this fast-paced

Qualifications

• Bachelor’s degree required.
• Current SIE, Series 7 and Series 63 licenses required.
• MBA, CFA, CEP or ECA designation preferred.
• Proficiency with Microsoft Office Suite, including Excel and PowerPoint, required.
• Prior experience in Capital Markets, Investment Banking/Origination, Wealth Management or Stock Plan Administration preferred.
• Demonstrated success supporting clients in a high-touch service environment, including executive and C‑Suite level clients.
• Strong phone, email, presentation, negotiation and written communication skills.

Responsibilities

• Serve as a primary point of contact for executive-level participants and cross-functional partners on 10b5-1 plans and related equity plan matters.
• Provide high-quality, responsive support via calls and email inquiries, maintain records, and resolve issues.
• Lead 10b5-1 plan implementation discussions with managers, issuers and clients on plan structuring and schedules.
• Support complex restricted stock and equity transactions, including Rule 144 filings and related administration.
• Develop knowledge of SEC rules and educate financial advisors and clients on compliance matters.
• Identify opportunities to improve operational efficiency and scale support for executive clients.
• Support issuer and client prospects at events and conferences, presenting Morgan Stanley capabilities.

Skills

SIE license

Series 7

Series 63

Bachelor's degree

MBA

CFA

CEP

ECA

Excel

PowerPoint

Capital Markets experience

Education

Bachelor’s degree

MBA

CFA

CEP

ECA

Tools

Excel

PowerPoint

Microsoft Office Suite

Job description

Morgan Stanley is seeking an Executive Services Specialist to manage 10b5-1 trading plans and restricted stock transactions for senior executives and issuers. Daily interaction with C‑Suite clients, issuer teams and advisors is required, with a focus on privacy, compliance and concierge-level service.

The role requires licensing (SIE, Series 7, Series 63) and familiarity with SEC rules. Strong client-service orientation and cross-functional collaboration are essential in this fast-paced