CES 10B5-1 Trading

Job Description
This Executive Compensation Trading & Operations AVP/VP 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 management systems.

Primary Location Full Time Salary Range of $125,000 - $175,000.

About Us
Jefferies is a leading global, full-service investment banking and capital markets firm that provides advisory, sales and trading, research, and wealth and asset management services. With more than 40 offices around the world, we offer insights and expertise to investors, companies, and governments.

At Jefferies, we are committed to building a culture that provides opportunities for all employees regardless of our differences and supports a workforce that is reflective of the communities where we work and live. As a result, we are able to pool our collective insights and intelligence to provide fresh and innovative thinking for our clients.

Jefferies is committed to creating and sustaining a workforce that welcomes individuals from all backgrounds to apply. Our employment decisions are made without regard to race, creed, color, national origin, ancestry, religion, pregnancy, age, medical condition, physical or mental disability, marital status, domestic partner status, sex, sexual orientation, gender, gender identity or expression, veteran or military status, genetic information, reproductive health decisions, or any other factor protected by applicable law. We are committed to hiring the most qualified applicants and complying with all federal, state, and local equal employment opportunity laws. As part of this commitment, Jefferies will extend reasonable accommodations to individuals with disabilities, as required by applicable law.

The salary offered will take into consideration an individual's experience level and qualifications. In addition to salary, Jefferies Financial Group is proud to offer a comprehensive benefits package to eligible, full-time employees or part-time employees, who are scheduled to work at least 30 hours or more per week, including an annual discretionary incentive and retention bonus, competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Jefferies also offers paid time off packages that include planned time off (e.g., vacation), unplanned time off (e.g., sick leave), and paid holidays, and for full time employees, paid parental leave.

Job applicants must have valid United States work authorization. Applicants for this position are not eligible for employer H-1B visa sponsorship, now or in the future.