Senior Restricted Stock & 10b5-1 Specialist (VP/ED)

JPMorgan Chase

Dallas (TX)

Sur place

USD 150 000 - 285 000

Plein temps

14 jours+

Obtenez une réponse de cet employeur

Votre CV et votre lettre de motivation, adaptés exactement à ce que l’employeur recherche.

Passez les filtres ATS

Résumé du poste

JPMorgan Chase & Co. in Dallas is seeking a VP/ED‑level Restricted Stock / 10b5‑1 Specialist to advise Wealth Management teams and clients on U.S. regulatory considerations and execution for restricted/control securities and Rule 10b5‑1 plans.

The role leads diligence, coordinates with issuer counsel and legal/compliance, and drives end‑to‑end execution across selling, pledging, hedging, gifting, and wealth transfer strategies while ensuring adherence to regulations and firm policies.

Qualifications

Typically 3+ years experience in restricted stock, Rule 144, 10b5-1 plan execution/administration, equity markets, or related roles.
Ability to lead complex, multi‑stakeholder processes involving issuer counsel and internal control functions.
Strong judgment, execution discipline, and ability to manage confidential, high‑sensitivity matters.
Excellent written/verbal communication skills; ability to translate regulatory requirements into practical guidance.
Strong organization and prioritization skills in a deadline‑driven environment.
FINRA Series 7 and Series 63 (required).
Bachelor’s degree (required).

Responsabilités

Advise Wealth Management teams and clients on requirements, approvals, and best practices for transactions involving restricted/control securities and insiders.
Lead diligence and documentation, coordinating with issuer counsel and internal partners for end‑to‑end execution.
Provide guidance on Rule 144 compliance, including Form 144 preparation/filing workflow.
Coordinate and drive alignment across counsel, client and internal teams to readiness.
Oversee post‑launch administration, including trade‑report communications and ongoing plan support.