FINRA Licensed Stock Plan Associate
Job Summary
Supporting the implementation and administration of Rule 10b5-1 trading plans, the full-time remote FINRA Licensed Stock Plan Associate will manage trading activities, coordinate with various stakeholders, and ensure compliance with SEC regulations.
Key responsibilities
- Set up and administer Rule 10b5-1 trading plans, ensuring compliance with relevant regulations
- Coordinate with executive servicing teams and issuers to align trading plans with insider trading policies
- Execute and monitor transactions under established trading plans while maintaining accuracy and regulatory compliance
Required qualifications
- Bachelor's degree in Finance, Business Administration, or a related field, or a minimum of seven years of relevant experience
- Active FINRA Series 7 and NASAA Series 63 registrations/licenses
- Working knowledge of Rule 10b5-1, Rule 144, Section 16, and EDGAR compliance requirements
- Quantitative and analytical skills with strong attention to detail
- Proficiency with CRM systems, equity trading platforms, and Microsoft Excel
Complete Job Description
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