Wealth Management, Restricted Stock / 10b5-1 Specialist , Vice President

JPMorgan Chase; Dallas (TX); Vor Ort; USD 150.000 - 285.000; Vollzeit

Zusammenfassung

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.

Qualifikationen

• 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).

Aufgaben

• 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.

Kenntnisse

Regulatory compliance

Stakeholder leadership

Communication skills

Organizational skills

Ausbildung

Bachelor's degree

Jobbeschreibung

About Strategic Equity Solutions / Restricted Stock Group

Strategic Equity Solutions (SES) provides holistic advice and execution for clients with large, concentrated equity positions, leveraging the breadth of JPMorganChase capabilities. The Restricted Stock Group (RSG) helps advisors and clients navigate affiliation and restrictions (including control stock, Rule 144 transactions, lockups, and related diligence/documentation) and delivers coordinated execution across internal and external partners.

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

The Restricted Stock / 10b5-1 Specialist (VP/ED) is a subject‑matter expert responsible for advising Wealth Management teams and clients on U.S. regulatory considerations and execution strategy for restricted/control securities and Rule 10b5-1 plans. The role leads diligence and documentation, partners directly with issuer counsel and internal legal/compliance partners, and drives end‑to‑end execution across selling, pledging, hedging, gifting, and wealth transfer strategies‑while ensuring adherence to all applicable regulations and firm policies.

Job Responsibilities

• Advisory coverage

• Serve as the point of contact for advisors and stakeholders on requirements, approvals, and best practices for transactions involving restricted/control securities and insiders.

• Provide judgment on complex or sensitive situations (e.g., concentration risk, liquidity constraints, issuer restrictions, lockups, heightened scrutiny names) and elevate appropriately.

• 10b5-1 plan structuring and governance

• Lead client/advisor discussions to define objectives and translate them into clear, executable selling parameters appropriate for the security’s trading characteristics.

• Draft and refine trading terms to ensure they accurately reflect client intent and are operationally executable, with minimal ambiguity.

• Coordinate and drive alignment across internal counsel, issuer General Counsel, client counsel, and other involved advisors through final execution readiness.

• Oversee post‑launch administration, including trade‑report communications and ongoing plan support in accordance with established procedures.

• Restricted/control securities diligence and Rule 144 execution

• Own the due diligence process with issuer counsel for sales, margin loans/credit, derivatives/hedging structures, gifting, wealth transfer strategies, and executive equity activity (including option exercises).

• Ensure Rule 144 compliance, including Form 144 preparation/filing workflow (as applicable) and monitoring volume limitations and other conditions of sale.

• Provide guidance on legend/restriction removal pathways and lead coordination among issuer counsel, transfer agents (where applicable), and internal Operations/Settlements.

• Execution oversight and cross‑functional coordination

• Drive seamless execution by partnering with trading/execution, legal, compliance/risk, operations/settlements, and advisor teams.

• Anticipate bottlenecks (documentation, issuer turnaround, operational lead times) and actively manage timelines for time‑sensitive transactions.

• Controls, policy adherence, and risk management

• Ensure strict adherence to internal policies regarding securities transactions, information barriers, record‑keeping, and code of conduct.

• Identify process/control gaps, recommend enhancements, and support risk/compliance initiatives impacting restricted stock and 10b5‑1 activity.

• Teamwork and capability building

• Support training and internal education for advisors and partners.

• Contribute to strategic initiatives and ad‑hoc projects related to market trends, insider activity, product development, and operational efficiency.

Required Qualifications, Capabilities, and Skills

• Relevant experience (typically 3+ years) in restricted stock, Rule 144, 10b5-1 plan execution/administration, equity markets, or a related role supporting concentrated equity positions.

• Demonstrated ability to lead complex, multi‑stakeholder processes involving issuer counsel and internal control functions.

• Strong judgment, execution discipline, and the 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.

Preferred Qualifications, Capabilities, and Skills

• Deep expertise in Rule 144, control stock, affiliate/non‑affiliate analysis, lockups, and insider‑related trading constraints.

• Experience with equity compensation / stock plan administration and executive transaction workflows.

• Familiarity with concentrated position strategies and instruments (e.g., 10b5-1 plans, block trades, OTC derivatives/hedging, exchange funds, bespoke liquidity solutions).

• Prior experience partnering with private wealth advisors, private banking, or corporate issuer stakeholders.

Base Pay/Salary

Dallas,TX $150,000.00 - $285,000.00 / year; New York,NY $150,000.00 - $285,000.00 / year; Chicago,IL $150,000.00 - $285,000.00 / year; San Francisco,CA $150,000.00 - $285,000.00 / year

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company.

We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs.

JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans.