DEPARTMENT PROFILE:

Executive Financial Services ("EFS") supports transactions involving restricted or control stock, often-involving Rule 144 Affiliates and Corporate Insiders. These transactions include Rule 10b5-1 Trading Plans, sales under Rule 144 or pursuant to prospectus registration, margining, hedging, gifting or legend removals for restricted stock. EFS conducts due diligence with Issuer counsel prior to the transaction, negotiates and implements 10b5-1 contracts (including trade execution pursuant to the plan) and facilitates SEC filings, clearing and settlement of restricted trades. An important part of the service provided by EFS includes education and guidance to Financial Advisors ("FAs"), branch management and issuer counsel/corporate clients on SEC rules and operational considerations. Our 10b5-1 team is #1 in our industry and seeks to provide affirmative defense solutions for trading plans for top executives and affiliates.

POSITION SUMMARY & RESPONSIBILITIES:

As an Ultra High New Worth (UHNW) Rule 10b5-1 Specialist under EFS this position will be responsible for handling adoption and management of 10b5-1 trading plans for new and established Issuers, while maintaining a white glove service to our clients. The ideal candidate must have proven experience with speaking to senior level executives and provide a concierge type service to Issuers, clients, advisors and partners throughout the Firm. The Rule 10b5-1 Specialist is required to be licensed: Series 7, 63.

GENERAL FUNCTIONS INCLUDE:
• Central point of contact to liaise between Trade Desk and Specialist Teams on market updates, trading strategy and volume discussions.
• Lead 10b5-1 Plan implementation discussions with Private Wealth Advisors, Issuers and Client (seller) to discuss Plan structuring considering Tax, Legal, market and optical considerations.
• Ability to recognize needed enhancements in operations that could improve efficiencies, or decrease risk.
• Work closely with Stock Plan Directors, Financial Advisors, Technology, Legal Department & Compliance and Strategic Client Management (the liaison between wealth management and MS's
• Negotiate Rule 10b5-1 contracts for Issuers: draft revisions to reflect a company's insider trading policy, coordinate trade schedules, and conduct due diligence to establish plans. During the course of onboarding a new company, the Specialist may speak with Issuer's counsel, transfer agent, FA, client (seller) and occasionally Compliance or Legal.
• Possess an understanding for corporate equity plans: option exercises, restricted stock vests, SARS and related administration.
• Provide educational support and trade schedule advice to FAs and clients (sellers) on the best way to execute/effect a trade schedule for an individual client (seller).
• 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),. Must quickly develop a full understanding of how each group interacts.
• Potential travel for Issuer and client prospects, as well as speaking engagements and conferences. Must be able to present MS's capabilities, as well as understand the operations of administering plans.
• Ability to recognize needed enhancements in operations that could improve efficiencies, or decrease risk.
• Review legal documents with an eye to manage risk and have the ability to identify and present issues (as appropriate) to Legal and EFS management.
• Develop and maintain a high level of knowledge in various SEC Rules: 10b5-1, Rule 144, 10b-18, Section 16, etc.
• Facilitate the clearance & settlement of restricted shares, including compiling and submitting legal paperwork to company counsel.
• File Rule 144 Forms with the SEC as required.
• Maintain EFS records on Rule 10b5-1 trading plans.
• Prior experience in Capital Markets, Investment Banking/Origination, Wealth Management or other role in finance.
• FINRA Licenses: Series 7 & 63 required.
• Strong presentation, negotiation, oral and written communication.
• Proficiency with Microsoft Excel and PowerPoint.
• Self-Motivator, ability to learn independently and work free from immediate supervision.
• Positive and professional customer service attitude.
• Willingness to work off hours and check emails during busy cycles.

Desired Qualifications / Skills:
• Experience with Rule 10b5-1 plans preferred
• Certified Equity Professional (CEP) or Equity Compensation Associate (ECA) designations preferred
• MBA or CFA or progress toward either is helpful
• Data analysis skills / experience
• Project management experience

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Expected base pay rates for the role will be between $85,000 and $135,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.