Executive Services Specialist, Associate

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success.

Together, we share a common set of values rooted in integrity, excellence, and strong team ethics. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Shareworks by Morgan Stanley is fulfilling a vision of becoming the global leader in equity-based (stock) incentive and share purchase savings plan management. We specialize in the delivery of complete web-based services for the full lifecycle of equity-based incentive and savings plans. Through our technically advanced Shareworks™ platform, Shareworks by Morgan Stanley is setting the industry's service standard for the administration and execution of all types of equity-based incentives and savings plans.

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, money movement or legend removals for restricted stock. EFS conducts due diligence with Issuer counsel prior to the transaction, negotiates and implements 10b5-1 contracts, supports 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, issuer counsel, corporate clients, Executive and C-Suite level participants, and other key stakeholders on SEC rules, equity plan administration 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 while delivering trusted, everyday excellence to Morgan Stanley clients.

POSITION SUMMARY:

The Executive Services Specialist will be responsible for the adoption, implementation and ongoing management of 10b5-1 trading plans and other restricted stock transactions for new and established Issuers. This role serves as the face of E*Trade and Shareworks by Morgan Stanley to Executive and C-Suite level customers and requires daily interaction with executive clients, issuer executive teams, advisors and internal partners.

The ideal candidate will bring proven experience supporting senior-level executives, a strong client-service orientation, and the ability to deliver white-glove, concierge-level service while meeting privacy, compliance and audit expectations. The Rule 10b5-1 Specialist is required to be licensed: SIE, Series 7 and Series 63.

RESPONSIBILITIES:

• Serve as a primary point of contact for executive-level participants, issuer executive teams, Financial Advisors, Executive Relationship Managers, Trade Desk, Specialist Teams and other cross-functional partners on 10b5-1 plans, restricted stock transactions and related equity plan matters.
• Provide high-quality, responsive support through inbound and outbound calls and email inquiries, including responding to client questions, supporting plan administration, maintaining accurate EFS records, ensuring appropriate documentation of Rule 10b5-1 trading plans, and resolving or escalating complaints and complex service issues as appropriate.
• Lead 10b5-1 plan implementation discussions with Executive Relationship Managers, Issuers and clients, advising on plan structuring and trade schedules while co