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Years of Experience
Date Last Verified
Senior Product Specialist Responsibilities: Work with Corporate Executives and Merrill Lynch Financial Advisors on creating and implementing SEC Rule 10b5-1 trading plans covering planned sales. On a daily basis, will assist clients, Issuers and FAs on the benefits of trading under a Rule 10b5-1 trading plan. Works with the executive in creating a plan that best suits their overall financial plan (diversification, liquidity) while also ensuring that the Merrill Lynch plan incorporates any specifications from the Issuer’s insider trading policy. Will work with general counsel of the issuer to negotiate any legal changes they would like incorporated into the Merrill Lynch template. Collaboration with Private Wealth Advisors, Financial Advisors, Client Associates, Admin Managers and the block trading desk to ensure trading and administrative activities are properly executed under the plan. Will also be actively involved in educating the filed on SEC rules such as 144, and 145, the stock option exercise process, internal procedures when selling control or restricted stock, and other Executive Services products including Officer and Director Equity Services (ODES).
Qualification and Experience
Qualifications: JD Degree (preferred)/College degree, 4 years proven and progressive experience in the financial services industry. FINRA Series 7 required (or ability to obtain within 120 days). Experience with branch office and block trading policies, and systems strongly desired. Strong knowledge with SEC rules (10b5-1, 144, 144b, 145, 701) Section 16, restricted and control securities, and stock options. Knowledge of industry trends, competitive advantages, and product offerings. Ability to work in a team environment including marketing, operations, systems, management, finance, legal, etc. through various initiatives. Highly analytical with ability to synthesize data and research findings to make actionable recommendations. Superior project management skills. Strong interpersonal influence skills to manage projects and people for which there may be no direct reporting relationship. Proven effectiveness in fast-paced, demanding, client-driven environment. Ideal candidate will possess both a strategic thinking expertise as well as an ability to plan and execute tactical actions to implement strategic objectives. Computer proficient in MS Office suite; Advanced excel skills strongly desired. Ability to communicate effectively with all levels of management within the organization. Have sound business judgment, decision-making skills. Identify and prioritize projects to ensure consistency with business objectives and strategic initiatives.
Job number: 17037381
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