Executive Compensation Trading & Operations Manager

Company: Hunt
Location: New York
Posted on: June 2, 2025

Job Description:

Executive Compensation Trading & Operations ManagerThis Executive Compensation Trading & Operations Manager will primarily support Jefferies Wealth Management's CES (Corporate and Executive Services) business.The CES team manages the Executive's transition from illiquid to liquid. This includes pre to post transaction planning which incorporates any combination of the following, including but not limited to, the servicing of equity compensation plans, implementation and execution of 10b5-1 Plans and/or Purchase Plans, Restricted Stock Sales + Block Trades, Equity + Option Plan Consulting (Cash/Cashless Exercise), Concentrated Stock Position Management, Portfolio Volatility Management and Wealth Planning.Wealth Management's Corporate and Executive Services team also partners with Jefferies Equity Capital Markets and Investment Banking to assist Issuers, priority relationships and sponsors with the facilitation of key institutional equity deal placements. We assist Issuers and their management teams with corporate buy backs and block trading. We facilitate and manage deal placements on behalf of retail participants for both Jefferies equity IPO and follow-on transactions.Primary areas of Responsibilities:

• Management and oversight of the 10B5-1 process on a day-to-day basis - ownership of 10B5-1 trading formula and plan implementation, order routing, live market data price fluctuation monitoring within the active Jefferies 10B5-1 plan universe.
• Assist Head of CES with strategic planning during meetings with Financial Advisors and C-Suite executive clients seeking to monetizing equity compensation via 10B5-1 plans.
• 10B5-1 plan operational plan tracking, maintenance and monitoring within newly created proprietary portal utilized by corporate & executive service team.
• Keep updated on SEC and 10B51 regulatory landscape specific to 10B5-1s including Maintaining, tracking, and filing SEC 144 sales reports on behalf of executive clients via the SEC Edgar website and Edgar Next
• Work with Technology to identify and prioritize business requested fixes and enhancements to 10B5-1 system, including clear communication of business requirements and active participation in collaboration meetings and testing.
• Oversee day to day equity syndicate IPO and Secondary allocation process on behalf of Wealth Management providing deal color to FAs and managing order books.
• Active involvement in supporting projects related to the growth of the business.
• Support FA teams through Wealth's equity, international, and option liaison trading desk through our firm's third-party OMS Fidessa and Pershing's front-end tool, NetX360.
• Provide execution support to sales teams from pre to post market sessions.
• Creation of management presentations, pitch decks and procedural docs when needed and while keeping updated.
• Respond timely to escalated inbound Financial Advisor and Sales Assistant requests for middle office and trade support.
• Ability to analyze data within excel, create ad-hoc reports and present findings in presentation form.Success Measures:Effectiveness of day-to-day accuracy of order outing and execution as stipulated in 10B5-1 trading formulas. Feedback from FA partners, peers, external counterparts. Operational management within Corporate & Executive Services. Effectiveness of non-recurring objectives, projects and analysis specified and/or assigned at least annually.Qualifications:
  • Bachelor's degree in business administration, Finance, Economics, Computer Science, or related field preferred
  • 5+ years' experience with servicing of executive compensation plans, 10B5-1 trading formula implementation and 10B5-1 order routing execution management.
  • Strong quantitative, analytical, project management and problem-solving skills.
  • Excellent time management skills and the ability to prioritize work.
  • Advanced skills in Microsoft Excel, Word, PowerPoint
  • Solid communication skills and "presence" to interact effectively with clients as well as internal teams and stakeholders.
  • Experience with Pershing NetX360, Fidessa, IPREO Equity and Retail Bookbuild, Factset, or similar custodial and client managementsystems.Primary Location Full Time Salary Range of $110,000 - $125,000.
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Keywords: Hunt, Brentwood , Executive Compensation Trading & Operations Manager, Human Resources , New York, New York