VP, Restricted Stock & 10b5-1 Specialist

Next Frontier Capital; United States; On-site; USD 150,000 - 210,000; Full time

Benefits offered by this job

Health care coverage

On-site wellness centers

Retirement savings plan

Tuition reimbursement

Mental health support

Job summary

JPMorgan Chase & Co.'s Strategic Equity Solutions team seeks a Restricted Stock / 10b5-1 Specialist (VP/ED) to advise Wealth Management and clients on U.S. regulatory considerations and execution strategies for restricted securities and Rule 10b5-1 plans.

The role leads due diligence, coordinates with issuer and internal counsel, and drives end-to-end execution across selling, pledging, hedging, gifting, and wealth transfer strategies while maintaining compliance with firm policies.

Qualifications

• 3+ years in restricted stock, Rule 144, 10b5-1 plan execution/administration, equity markets, or related support for concentrated positions
• Demonstrated ability to lead complex, multi-stakeholder processes with issuer counsel and internal controls
• Strong judgment and discretion handling confidential, high-sensitivity matters
• Excellent written and verbal communication translating regulatory requirements into guidance
• Strong organization and prioritization in deadline-driven environments
• FINRA Series 7 and Series 63 required
• Bachelor’s degree in a related field or equivalent experience

Responsibilities

• Advisory coverage for transactions involving restricted or control securities and insiders
• Lead discussions to define objectives and translate them into executable selling parameters for 10b5-1 plans
• Coordinate with issuer counsel, client counsel, and internal teams through final execution readiness
• Oversee post-launch administration including trade-report communications and plan support
• Ensure strict adherence to policies and risk management in securities transactions
• Support training and strategic initiatives related to market trends and internal initiatives

Skills

Restricted stock

Rule 144

10b5-1 plan execution

Equity markets

Regulatory compliance

FINRA Series 7

FINRA Series 63

Bachelor’s degree

Education

Bachelor’s degree

Job description

JPMorgan Chase & Co.'s Strategic Equity Solutions team seeks a Restricted Stock / 10b5-1 Specialist (VP/ED) to advise Wealth Management and clients on U.S. regulatory considerations and execution strategies for restricted securities and Rule 10b5-1 plans.

The role leads due diligence, coordinates with issuer and internal counsel, and drives end-to-end execution across selling, pledging, hedging, gifting, and wealth transfer strategies while maintaining compliance with firm policies.