Executive Services Specialist, Associate

About the Role

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.

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 as appropriate.
• 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, including presenting Morgan Stanley’s capabilities and demonstrating understanding of plan administration operations.

Requirements & Tech Stack

• 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.
• Proficiency with Microsoft Office Suite, including Excel and PowerPoint, required.
• 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.