Wealth Management, Restricted Stock / 10b5-1 Specialist , Vice President

About Strategic Equity Solutions / Restricted Stock Group

Strategic Equity Solutions (SES) provides holistic advice and execution for clients with large, concentrated equity positions, leveraging the breadth of JPMorganChase capabilities.

The Restricted Stock Group (RSG) helps advisors and clients navigate affiliation and restrictions (including control stock, Rule 144 transactions, lockups, and related diligence/documentation) and delivers coordinated execution across internal and external partners.

The Restricted Stock / 10b5-1 Specialist (VP/ED) is a subject-matter expert responsible for advising Wealth Management teams and clients on U.S.

regulatory considerations and execution strategy for restricted/control securities and Rule 10b5-1 plans.

The role leads diligence and documentation, partners directly with issuer counsel and internal legal/compliance partners, and drives end-to-end execution across selling, pledging, hedging, gifting, and wealth transfer strategies-while ensuring adherence to all applicable regulations and firm policies.

Job Responsibilities


* Advisory coverage
+ Serve as the point of contact for advisors and stakeholders on requirements, approvals, and best practices for transactions involving restricted/control securities and insiders.
+ Provide judgment on complex or sensitive situations (e.g., concentration risk, liquidity constraints, issuer restrictions, lockups, heightened scrutiny names) and escalate appropriately.


* 10b5-1 plan structuring and governance
+ Lead client/advisor discussions to define objectives and translate them into clear, executable selling parameters appropriate for the security's trading characteristics.
+ Draft and refine trading terms to ensure they accurately reflect client intent and are operationally executable, with minimal ambiguity.
+ Coordinate and drive alignment across internal counsel, issuer General Counsel, client counsel, and other involved advisors through final execution readiness.
+ Oversee post-launch administration, including trade-report communications and ongoing plan support in accordance with established procedures.


* Restricted/control securities diligence and Rule 144 execution
+ Own the due diligence process with issuer counsel for sales, margin loans/credit, derivatives/hedging structures, gifting, wealth transfer strategies, and executive equity activity (including option exercises).
+ Ensure Rule 144 compliance, including Form 144 preparation/filing workflow (as applicable) and monitoring volume limitations and other conditions of sale.
+ Provide guidance on legend/restriction removal pathways and lead coordination among issuer counsel, transfer agents (where applicable), and internal Operations/Settlements.


* Execution oversight and cross-functional coordination
+ Drive seamless execution by partnering with trading/execution, legal, complianc...