Senior Stock Plan Specialist

Job Summary

A company is looking for a Senior Stock Plan Services Specialist to oversee trading plans and ensure compliance with SEC regulations.

Key Responsibilities

• Design, implement, and manage compliant Rule 10b5-1 trading plans
• Oversee execution of stock trades ensuring compliance with SEC requirements
• Coordinate regulatory filings and provide consultation on insider trading policies

Required Qualifications

• Bachelor's degree in Finance, Business Administration, or related field; MBA, CEP, or JD preferred
• 5-8 years of experience in equity trading, compliance, or executive services
• Active FINRA Series 7 and NASAA Series 63 licenses required
• Strong knowledge of SEC regulations including Rule 10b5-1 and Rule 144
• Proven ability to deliver error-free execution with strong compliance ethics