Ultra High Net Worth Executive Financial Services Rule 10b5-1 Strategy Associate

Morgan Stanley; Sandy (UT); On-site; USD 80,000 - 100,000; Full time

Job summary

Morgan Stanley is looking for an Ultra High Net Worth (UHNW) Rule 10b5-1 Strategy Associate located in Sandy, Utah. This role involves managing trading plans and providing concierge-level support to clients and advisors. Candidates should have experience in Capital Markets and possess FINRA Licenses Series 7 & 63.

The ideal applicant is self-motivated, has strong Microsoft Office skills, and is capable of effectively communicating with senior leadership. Join us as we expand our UHNW Desk and contribute to a culture of inclusion within our diverse workforce.

Qualifications

• Prior experience in Capital Markets, Investment Banking/Origination, or Wealth Management.
• Strong presentation and customer service attitude.
• Self-motivator with independent learning ability.

Responsibilities

• Manage trade schedules and provide educational support to clients.
• Maintain compliance with SEC rules and regulations.
• Develop presentations and deliver analysis to senior leaders.

Skills

Data analysis

Microsoft Office

Presentation skills

Negotiation skills

Oral communication

Written communication

Education

FINRA Licenses: Series 7 & 63 required

Tools

Microsoft Excel

PowerPoint

Job description

Position Summary and Responsibilities

As an Ultra High Net Worth (UHNW) Rule 10b5-1 Strategy Associate, this person will be responsible for the white glove adoption and trade management of 10b5-1 trading plans and enhance strategy and analysis for the UHNW Desk and broader EFS Department. The ideal candidate should have proven experience with providing a concierge type service to issuers, clients, advisors or partners and strong data analysis and Microsoft Office skills.

• Develop and maintain a high level of knowledge in various SEC Rules: 10b5-1, Rule 144, 10b-18, Section 16, etc., and corporate equity plans (option exercises, restricted stock vests, SARS and related administration).
• Maintain EFS records on Rule 10b5-1 trading plans and file Rule 144 Forms with the SEC as required.
• Provide educational support and trade schedule advice to financial advisors and clients (sellers) on the best way to execute or effect a trade schedule for an individual client.
• Review legal documents with an eye to manage risk and identify and present issues (as appropriate) to Legal and EFS management.
• Work closely with Stock Plan Directors, Financial Advisors, Technology, Legal Department & Compliance, and Strategic Client Management (the liaison between wealth management and MS’s investment bank). Quickly develop a full understanding of how each group interacts.
• Assist the department in helping analyze how to expand the UHNW 10b5-1 Desk to additional advisors and expand beyond a 10b5-1 service, coordinating with Global Capital Markets, Private Wealth Management and Family Office Resources.
• Lead on strategic initiatives, develop PowerPoint presentations and deliver analysis and vision to senior leaders.

Qualifications

• Prior experience in Capital Markets, Investment Banking/Origination, or Wealth Management.
• FINRA Licenses: Series 7 & 63 required; sponsor for Series 57 Exam.
• Strong presentation, negotiation, oral and written communication skills.
• 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.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

For more information, visit https://www.morganstanley.com/people-opportunities/eeo.