Restricted Securities Associate

Restricted Securities Associate

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 the FA's, branch management and issuer counsel/corporate clients on SEC rules and operational considerations.

The Restricted Securities Associate will interact with multiple internal partners and applications to resolve service requests. The ideal candidate for this role will be able to offer knowledgeable support in a professional and efficient manner while taking the initiative to stay up to date on both company products and services.

Position Summary and Responsibilities:

• Review service requests, verify accuracy of information, and approve / deny based on predefined criteria
• Coordinate with various business partners within the EFS department to process service requests
• Follow-up/respond to Branch inquiry requests and advise on proper documentation and procedures
• Responsible for the daily monitoring of account activity
• Perform record keeping activities and ensure data accuracy
• Generate and analyze reports as needed.
• Ability to present multiple options to resolve complex inquiries, recognize gaps in processes, and collaborate with team to increase efficiency

Business Requirements:

• 2-5 years of experience in a financial sales/service environment with proven results
• Education or training equivalent to a bachelor's degree
• Fundamental knowledge of brokerage business
• Exhibit strong critical thinking skills to address inquires.
• Strong attention to detail
• Ability to work independently and within a team environment while adeptly resolving intricate issues and escalations
• Strong Excel and data analysis skills

Preferred Requirements:

• Executive and financial services experience preferred including limited Rule 10b5-1 trading plans, Section 16, restricted stock, Rule 144, and equity compensation
• Effective conflict resolution and critical thinking skills
• Approachable, flexible, dependable and conscientiousness collaborator
• Demonstrates self-confidence and the ability to keep composure in high pressure situations
• Takes initiative and develops proposals towards positive solutions
• Willing to learn new skills and knowledge on an independent level to enhance personal development and achieve career goals

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.

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.

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