Wealth Management: Restricted Stock & 10b5-1 Specialist

J.P. Morgan; New York (NY); On-site; USD 250,000 - 350,000; Full time

Benefits offered by this job

Health care coverage

Retirement savings plan

Equity incentive

Job summary

JPMorgan Chase & Co. in New York seeks a Restricted Stock / 10b5-1 Specialist (VP/ED) to advise Wealth Management teams on U.S. regulatory considerations and to drive end‑to‑end execution for restricted securities.

You will lead diligence with issuer counsel, coordinate with internal partners, and ensure compliance with Rule 144, lockups, and related documentation while building capability across the desk. This role offers a comprehensive rewards package and opportunities to influence

Qualifications

• 3+ years in restricted stock, Rule 144, or 10b5-1 plan execution.
• Ability to lead multi-stakeholder processes with issuer counsel and internal control functions.
• Strong judgment and ability to handle confidential matters.
• Excellent written and verbal communication; translate regulatory requirements into guidance.
• Strong organization and prioritization in deadline-driven environment.
• Bachelor’s degree.

Responsibilities

• Advisory coverage for transactions involving restricted/control securities and insiders.
• Lead 10b5-1 plan structuring and governance discussions with clients/advisors.
• Oversee Rule 144 compliance including Form 144 workflow.
• Coordinate with issuer counsel, transfer agents, and internal teams to ensure execution readiness.
• Drive end‑to‑end execution and post‑launch administration.
• Ensure adherence to internal policies and risk management.

Skills

Regulatory advisement

Stakeholder leadership

Complex transaction execution

Written/verbal communication

Time management

FINRA Series 7

FINRA Series 63

Education

Bachelor's degree

Job description

JPMorgan Chase & Co. in New York seeks a Restricted Stock / 10b5-1 Specialist (VP/ED) to advise Wealth Management teams on U.S. regulatory considerations and to drive end‑to‑end execution for restricted securities.

You will lead diligence with issuer counsel, coordinate with internal partners, and ensure compliance with Rule 144, lockups, and related documentation while building capability across the desk. This role offers a comprehensive rewards package and opportunities to influence