Executive Services Specialist, Associate
Core
Manage 10b5-1 trading plans and restricted stock transactions for executive and C-Suite level clients, serving as the primary point of contact for plan implementation and administration.
Role type
Senior IC executive services specialist (equity plan administration)
Builds
10b5-1 trading plans, restricted stock transaction settlements, and SEC filing support for corporate insiders and affiliates
Domain
Financial services / Equity compensation / Securities regulation
Deliverable
client delivery
Required skills
10b5-1 plan structuring, Rule 144 administration, SEC rule compliance, trade execution support, client relationship management, financial reporting
Preferred skills
MBA, CFA, Certified Equity Professional (CEP), Equity Compensation Associate (ECA), capital markets experience
Technologies
Microsoft Office Suite (Excel, PowerPoint)
Responsibilities
Lead 10b5-1 plan implementation discussions with clients and internal partners, support complex restricted stock and equity transaction activity, develop working knowledge of SEC rules and provide educational support, identify opportunities to improve operational efficiency, support issuer and client prospects at conferences
Seniority
Mid-Senior, hands-on IC