Executive Services Specialist, Associate
Core
Manage 10b5-1 trading plans and restricted stock transactions for executive and C-Suite clients, serving as the primary point of contact for plan implementation and administration.
Role type
Associate Executive Services Specialist (Equity Plan Administration)
Builds
10b5-1 trading plans, restricted stock transactions, and equity incentive administration for Issuers and executives
Domain
Financial Services / Equity Compensation / Regulatory Compliance
Required skills
SIE license, Series 7 license, Series 63 license, SEC rule knowledge (Rule 10b5-1, Rule 144, Rule 10b-18, Section 16), client service, plan structuring, trade execution support, record maintenance, compliance documentation
Preferred skills
MBA, CFA, Certified Equity Professional (CEP), Equity Compensation Associate (ECA), Capital Markets experience, Investment Banking experience, Wealth Management experience, Stock Plan Administration experience
Technologies
Microsoft Office Suite (Excel, PowerPoint)
Responsibilities
Serve as primary point of contact for executive-level participants and issuer teams on 10b5-1 plans and restricted stock transactions; Provide high-quality support via inbound/outbound calls and email for plan administration and client inquiries; Lead 10b5-1 plan implementation discussions advising on structuring and trade schedules; Support complex restricted stock activity including Rule 144 filings, share gifting, and settlement; Develop working knowledge of SEC rules and provide educational support to Financial Advisors and clients; Identify opportunities to improve operational efficiency and reduce risk; Support prospects and speaking engagements to demonstrate plan administration capabilities