Ultra High Net Worth Executive Financial Services Rule 10b5-1 Strategy Associate: Competitive Pay, White Glove Service, Industry-Leading Team

Responsibilities & Day-to-Day

The Ultra High Net Worth Executive Financial Services Rule 10b5-1 Strategy Associate role focuses on supporting restricted stock transactions and trading plan execution for elite clientele.

Your responsibilities include maintaining records, facilitating trade management, and ensuring regulatory compliance—especially with SEC rules like Rule 10b5-1, 144, and more.

Expect to collaborate closely with attorneys, advisors, and corporate clients, handling sensitive data, reviewing legal paperwork, and keeping communication lines open at all times.

Strong skills in Microsoft Excel and PowerPoint are essential, along with a proven ability to educate and advise internal and external clients regarding best trading practices.

Initiative is valued, and you will also contribute to the strategic expansion of the UHNW desk and develop presentations for senior leadership.

Pros of the Role

This position offers a competitive base salary ranging from $80,000 to $100,000 with potential for bonuses and incentives, reflecting the seniority and impact of the role.

The role provides opportunities to work with some of the industry’s top professionals and gain hands-on experience in high-profile and complex financial strategies.

Cons of the Role

Applicants without Series 7 & 63 licenses may find the position difficult to access; the licensing requirement is strictly enforced.

The fast-paced nature and sensitive, high-stakes clientele may lead to elevated stress levels and require meticulous attention to detail under tight deadlines.

Final Verdict

For candidates seeking a high-impact finance role with industry-leading resources, the Ultra High Net Worth Executive Financial Services Rule 10b5-1 Strategy Associate offers promising career growth and compensation—with demanding but rewarding responsibilities.