Executive Services Specialist, Associate

About the Role

Morgan Stanley is a leading global financial services firm. Shareworks by Morgan Stanley is dedicated to becoming the global leader in equity-based incentive and share purchase savings plan management, specializing in web-based services for the full lifecycle of these plans.

The Executive Services Specialist will manage 10b5-1 trading plans and other restricted stock transactions for new and established Issuers. This role involves direct interaction with executive clients, issuer executive teams, advisors, and internal partners, serving as the primary point of contact for Executive and C-Suite level customers. The ideal candidate will possess proven experience supporting senior-level executives, a strong client-service orientation, and the ability to deliver white-glove, concierge-level service.

Key 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.
• Lead 10b5-1 plan implementation discussions with Executive Relationship Managers, Issuers, and clients, advising on plan structuring and trade schedules while considering tax, legal, market, optical, and operational considerations.
• Support complex restricted stock and equity transaction activity, including Rule 144 filings, share gifting, money movement, clearing and settlement, option exercises, restricted stock vests, SARs, and related administration.
• Develop and maintain strong working knowledge of SEC rules, including Rule 10b5-1, Rule 144, Rule 10b-18, and Section 16, and provide educational support to FAs, clients, and internal partners.
• Identify opportunities to improve operational efficiency, strengthen service delivery, reduce risk, and scale support for executive clients and issuer relationships.
• Support Issuer and client prospects, speaking engagements, and conferences as needed, presenting Morgan Stanley’s capabilities and demonstrating understanding of plan administration operations.

Requirements & Tech Stack

• Microsoft Office Suite, including Excel and PowerPoint.
• Knowledge of SEC rules, including Rule 10b5-1, Rule 144, Rule 10b-18, and Section 16.

Qualifications

• Bachelor’s degree required.
• Current SIE, Series 7, and Series 63 licenses required.
• MBA, CFA, Certified Equity Professional (CEP), or Equity Compensation Associate (ECA) designation preferred.
• Prior experience in Capital Markets, Investment Banking/Origination, Wealth Management, Executive Services, or Stock Plan Administration preferred.
• Demonstrated success supporting clients in a high-touch service environment, including executive and C-Suite level clients.
• Strong phone, email, presentation, negotiation, and written communication skills.
• Strong analytical, attention-to-detail, problem-solving, and prioritization skills, with the ability to triage multiple tasks in a fast-paced, evolving environment.
• Self-motivated and able to learn independently, exercise sound judgment, and work with limited immediate supervision.
• Positive, professional client-service orientation with enthusiasm for building strong relationships and delivering everyday excellence.
• Willingness to provide off-hours support during peak business cycles as needed.