Top 86 Financial advisor Jobs in West Jordan Ut

Ultra High Net Worth Executive Financial Services Rule 10b5-1 Strategy Associate
Morgan Stanley —Sandy, UT
- Full-time
- Customer service
- Mid-level
- Office
Financial Advisor
Cambridge Financial Network —South Jordan, UT
- $50,000 - $200,000 a year
- Mid-level
Quick Apply
Financial Solutions Advisor Registration Candidate - West Jordan Financial Center
Bank of America —West Jordan, UT
- Full-time
- Background check
- Mid-level
- Office
2d
Financial Planning Consultant - Salt Lake City, UT
Fidelity Investments —Salt Lake City, UT
- Full-time
- Office
- Residential
- Senior level
Financial Advisor - AI Trainer
DataAnnotation —Salt Lake City, UT
- $50 - $100 an hour
- Part-time
- Remote
- English
- Mid-level
- Master's degree
Quick Apply
Financial Advisor
Edward Jones —Centerville, UT
- $45,000 - $100,000 a year
- Full-time
- 5 years
- Military
- Mid-level
- Profit sharing
- Paid training
Wealth Management Trainee (UT)
Bankers Life —Salt Lake City, UT
- $50,000 - $80,000 a year
- Full-time
- Entry level
Quick Apply
Entry-Level Financial Advisor
Cambridge Financial Network —South Jordan, UT
- $50,000 - $150,000 a year
- Communication skills
- Entry level
Quick Apply
Fidelity’s Licensing Accelerator Program (SIE®) - Salt Lake City, UT
Fidelity Investments —Salt Lake City, UT
- Full-time
- Entry level
Entry-Level Financial Representative
Cambridge Financial Network —South Jordan, UT
- US work authorization
- Financial services
- Marketing
- Health insurance
- Dental insurance
Quick Apply
Financial Advisor
Farm Bureau Financial Services —Sandy, UT
- $72,000 - $100,000 a year
- Full-time
- Hybrid work
- Mid-level
- Organizational skills
- Communication skills
- Disability insurance
- Parental leave
Quick Apply
Financial Planning Associate
Dentist Advisors —Holladay, UT
- Full-time
- Hybrid work
- Bachelor of Science
- Office
- Administrative experience
Quick Apply
12d
Private Client Banker
KeyBank National Association —Taylorsville, UT
- $25.00 - $38.46 an hour
- 8 hour shift
- Word processing
- No high school diploma
- Mid-level
SRU Accounts Team Specialist
Morgan Stanley —South Jordan, UT
- Research
- Mid-level
- Office
Wealth Advisor- Murray, UT
Carson Group —Murray, UT
- $110,000 - $150,000 a year
- Computer literacy
- Mid-level
- Office
- Health savings account
- AD&D insurance
Asset & Wealth Management, Private Wealth Management, Investment Strategy Group, Analyst - Salt Lake City
Goldman Sachs —Salt Lake City, UT
- Research
- Mid-level
- Office
- Disability insurance
- Health insurance
Financial Crimes Partner Advisor
STRIDE BANK NA —Salt Lake City, UT
- Full-time
- Writing skills
- Mid-level
- 3 years
Financial Advisor
Dentist Advisors —Holladay, UT
- Full-time
- Hybrid work
- Mid-level
- 3 years
- Finance
- Continuing education credits
- Paid parental leave
Quick Apply
Wealth Management Associate
Equitable Advisors —Salt Lake City, UT
- Mid-level
- Office
- Bachelor's degree
- Employee stock purchase plan
- Disability insurance
Retirement Plan Advisor
Empower Annuity Insurance Company of America —Salt Lake City, UT
- $72,200 - $101,975 a year
- Remote
- Microsoft Word
- Mid-level
- 3 years
- Paid parental leave
- Paid holidays

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Ultra High Net Worth Executive Financial Services Rule 10b5-1 Strategy Associate

Morgan Stanley -
Sandy, UT

Apply Now

Job Details

Full-time

Qualifications

Customer communication
Spreadsheets
Series 7
FINRA License
Presentation creation
Productivity software
Experience practicing in the securities industry
Negotiation
Series 63

Full Job Description

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Department Profile:

Executive Financial Services (“EFS”) supports transactions involving restricted or control stock, often-involving Rule 144 Affiliates and Corporate Insiders. These transactions include Rule 10b5-1 Trading Plans, sales under Rule 144 or pursuant to prospectus registration, margining, hedging, gifting or legend removals for restricted stock. EFS conducts due diligence with Issuer counsel prior to the transaction, negotiates and implements 10b5-1 contracts (including trade execution pursuant to the plan) and facilitates SEC filings, clearing and settlement of restricted trades. An important part of the service provided by EFS includes education and guidance to Financial Advisors (“FAs”), branch management and issuer counsel/corporate clients on SEC rules and operational considerations. Our 10b5-1 team is #1 in our industry and seeks to provide affirmative defense solutions for trading plans for top executives and affiliates.

Position Summary and Responsibilities:
As an Ultra High Net Worth (UHNW) Rule 10b5-1 Strategy Associate, this person will be responsible for the white glove adoption and trade management of 10b5-1 trading plans and enhance strategy and analysis for the UHNW Desk and broader EFS Department. The ideal candidate should have proven experience with providing a concierge type service to Issuers, clients, advisors or partners and strong data analysis and Microsoft Office skills.

General Functions Include:

Develop and maintain a high level of knowledge in various SEC Rules: 10b5-1, Rule 144, 10b-18, Section 16, etc. and corporate equity plans: option exercises, restricted stock vests, SARS and related administration.
Maintain EFS records on Rule 10b5-1 trading plans and file Rule 144 Forms with the SEC as required.
Provide educational support and trade schedule advice to FA’s and clients (sellers) on the best way to execute/effect a trade schedule for an individual client (seller).
Review legal documents with an eye to manage risk and have the ability to identify and present issues (as appropriate) to Legal and EFS management.
Work closely with Stock Plan Directors, Financial Advisors, Technology, Legal Department & Compliance and Strategic Client Management (the liaison between wealth management and MS’s investment bank). Must quickly develop a full understanding of how each group interacts.
Work with Department to help analyze how to expand the UHNW 10b5-1 Desk to additional advisors and expand beyond a 10b5-1 service. This will require coordination with Global Capital Markets, Private Wealth Management and Family Office Resources.
Ability to lead on strategic initiatives, develop PowerPoint presentations and deliver analysis and vision to senior leaders.

Qualifications:

Prior experience in Capital Markets, Investment Banking/Origination, Wealth Management.
FINRA Licenses: Series 7 & 63 required. Will sponsor for Series 57 Exam.
Strong presentation, negotiation, oral and written communication.
High proficiency with Microsoft Excel and PowerPoint.
Self-Motivator, ability to learn independently and work free from immediate supervision.
Positive and professional customer service attitude.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit : https://www.morganstanley.com/people-opportunities/eeo .

Apply Now

Refine Your Search

financial advisor jobs in west jordan ut

Ultra High Net Worth Executive Financial Services Rule 10b5-1 Strategy Associate

Financial Advisor

Financial Solutions Advisor Registration Candidate - West Jordan Financial Center

Financial Planning Consultant - Salt Lake City, UT

Financial Advisor - AI Trainer

Financial Advisor

Wealth Management Trainee (UT)

Entry-Level Financial Advisor

Fidelity’s Licensing Accelerator Program (SIE®) - Salt Lake City, UT

Entry-Level Financial Representative

Financial Advisor

Financial Planning Associate

Private Client Banker

SRU Accounts Team Specialist

Wealth Advisor- Murray, UT

Asset & Wealth Management, Private Wealth Management, Investment Strategy Group, Analyst - Salt Lake City

Financial Crimes Partner Advisor

Financial Advisor

Wealth Management Associate

Retirement Plan Advisor

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