Executive Financial Services, Ultra High Net Worth 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 ethic. 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.

DEPARTMENT PROFILE:

Executive Financial Services (“EFS”) supports products and transactions involving restricted and/or control stock, often for Rule 144 Affiliates, Corporate Insiders, and large shareholders.  These transactions include sales under Rule 144 or pursuant to prospectus registration, lending, hedging, gifting, or Rule 10b5-1 Trading Plans.  We dedicate focus to assisting in liquidity needs through understanding the complexities of capital markets and requirements relating to compliance with SEC regulations. EFS conducts due diligence with Issuer counsel prior to the transaction, implements 10b5-1 contracts (including trade execution pursuant to the plan) and facilitates SEC filings, clearing and settlement of restricted trades.

EFS at Morgan Stanley at Work is the industry leader in the suite of services for products and transactions involving Ultra High Net Worth (UHNW) executives, directors, and large shareholder and plays an integral role at the Firm as subject matter experts. As a part of the department, the role includes education to Financial Advisors (“FAs”), clients, and issuer counsel/corporate clients on SEC rules, capital markets, and operational considerations.  You will liaise with Home Office colleagues such as Legal, Compliance, Risk, Structured Products, Private Bank, Stock Plan services and Senior MS Management. 

POSITION SUMMARY

As an EFS UHNW Associate, you will be responsible for guiding advisors, their clients and Issuers through each step of EFS and Capital Markets process; origination, execution and settlement. As part of the UHNW Executive Financial Services Team, you will devote your time to developing solutions for clients and performing due diligence on transactions related to restricted and/or control securities and other IPO transactional support. Additionally, this position will also be responsible for the 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 speaking to senior level executives and providing a concierge type service to Issuers, clients, advisors and partners throughout the Firm.

KEY RESPONSIBILITES INCLUDE:

B2B and B2C Coverage for IPO & Origination Support

• Partner with FAs and PWAs to develop liquidity solutions involving restricted/control securities, including readiness for IPO/M&A/liquidity events across B2B (corporate) and B2C (individual) channels; continuously improve processes to deliver a seamless client experience.
• Provide education and execution support to FAs and clients (sellers), including transaction process guidance and trade schedule considerations aligned with market/liquidity dynamics and operational readiness; proactively identify EFS opportunities and support advisor business development efforts.

10b5-1 Plan Implementation & Ongoing Support

• Lead Rule 10b5-1 plan implementation and onboarding with PWAs, issuers, and clients (sellers), including plan structuring and trade schedule design considerations (tax, legal, market, and optics).
• Support negotiation and onboarding of issuer 10b5-1 documentation, including coordination of trade schedules and due diligence.

Transaction Management / Due Diligence

• Manage restricted/control transactions end-to-end, validating transaction requests and supporting documentation for accuracy and applicability of Rule 144 and resale under applicable registration statements, including nuanced scenarios such as hedging and pledging securities as collateral for lending.
• Conduct due diligence with issuer/company legal teams and internal partners; facilitate clearance and settlement of restricted shares, support required public filings, and maintain electronic transaction records in proprietary books-and-records systems.

Cross-Functional Leadership & Controls

• Serve as a central point of contact across EFS specialist teams (Restricted/Control and 10b5-1) and key partners (WM Capital Markets/Trade Desk, Stock Plan Directors, Financial Advisors, Legal, Risk, Compliance, Technology, Morgan Stanley at Work colleagues, and Strategic Client Management) to coordinate crossover transactions, market updates, trading strategy, and volume discussions.
• Maintain strong working knowledge of applicable SEC rules (including Rule 144, 10b-18, Section 16, and Rule 10b5-1) and corporate equity plans (option exercises, restricted stock vesting, SARs, and related administration).
• Identify and drive operational enhancements that improve efficiency, strengthen controls, and reduce risk; leverage firm AI tools and resources where appropriate. Review legal documentation with a risk lens and escalate issues to Legal and EFS management as needed.

Required Qualifications / Skills:

• 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.
• Detail oriented with superior organizational skills.
• Great analytical and deductive skills that guide you in efficient and successful outcomes.
• Proficiency with Microsoft Excel and PowerPoint.
• Self-Motivator, ability to learn independently and work free from immediate supervision.
• Positive, proactive, and professional customer service attitude.
• Excited to operate in a time sensitive manner in a high paced environment while managing balancing priorities.
• Willingness to work off hours and check emails during busy cycles.

 Desired Qualifications / Skills:

• Experience with Rule 144, capital markets transactions, and general understanding of different types of products offered to clients who are affiliates of public companies preferred
• Experience with general wealth management functions and divisions such as operations, lending, stock plan administration, and trading 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
• AI agent building

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).

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years.  Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

Expected base pay rates for the role will be between $80K-$100K 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.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background.  Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.