JPMorgan Chase
Wealth Management, Restricted Stock / 10b5-1 Specialist , Vice President
$150K–$285K
Dallas, TX +3 · Director · Full-time · Posted Jul 14, 2026
- Location
- Dallas, TX
New York, NY
Chicago, IL
San Francisco, CA - Experience
- Typically 3+ years; relevant experience in restricted stock, Rule 144, 10b5-1 plan execution/administration, equity markets, or a related role supporting concentrated equity positions.
- Education
- Bachelor’s degree.
About the job
Advises Wealth Management teams and clients on restricted and control securities and Rule 10b5-1 plans, leading diligence, documentation, compliance, and transaction execution.
What you'll do
- Advise advisors and clients on restricted-stock transactions, regulatory requirements, approvals, and execution strategy.
- Structure and administer Rule 10b5-1 plans, coordinating terms and execution readiness with clients, counsel, and internal partners.
- Lead Rule 144 diligence and execution, coordinate cross-functional transactions, and uphold controls and firm policies.
What they ask for
- Typically 3+ years in restricted stock, Rule 144, 10b5-1 plan execution/administration, equity markets, or a related role supporting concentrated equity positions.
- FINRA Series 7 and Series 63.
- Bachelor’s degree.
- Ability to lead complex, multi-stakeholder processes involving issuer counsel and internal control functions.
Nice to have
- Deep expertise in Rule 144, control stock, affiliate/non-affiliate analysis, lockups, and insider-related trading constraints.
- Experience with equity compensation/stock plan administration or concentrated-position strategies and instruments.
Pay
$150,000.00-$285,000.00 USD base salary (Dallas, TX); $150,000.00-$285,000.00 USD base salary (New York, NY); $150,000.00-$285,000.00 USD base salary (Chicago, IL); $150,000.00-$285,000.00 USD base salary (San Francisco, CA)
Tools
Rule 144, Form 144, Rule 10b5-1
Model-written summary · the original posting is authoritative