About this opportunity
Morgan Stanley lists this Restricted Securities Associate opportunity in sandy, Utah. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Restricted Securities AssociateExecutive 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 criteriaCoordinate with various business partners within the EFS department to process service requestsFollow-up/respond to Branch inquiry requests and advise on proper documentation and proceduresResponsible for the daily monitoring of account activityPerform record keeping activities and ensure data accuracyGenerate and analyze reports as needed.Ability to present multiple options to resolve complex inquiries, recognize gaps in processes, and collaborate with team to increase efficiencyBusiness Requirements:2-5 years of experience in a financial sales/service environment with proven resultsEducation or training equivalent to a bachelor's degreeFundamental knowledge of brokerage businessExhibit strong critical thinking skills to address inquires.Strong attention to detailAbility to work independently and within a team environment while adeptly resolving intricate issues and escalationsStrong Excel and data analysis skillsPreferred Requirements:Executive and financial services experience preferred including limited Rule 10b5-1 trading plans, Section 16, restricted stock, Rule 144, and equity compensationEffective conflict resolution and critical thinking skillsApproachable, flexible, dependable and conscientiousness collaboratorDemonstrates self-confidence and the ability to keep composure in high pressure situationsTakes initiative and develops proposals towards positive solutionsWilling to learn new skills and knowledge on an independent level to enhance personal development and achieve career goalsWhat 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.For more information, please visit:
Worksite address
sandy, UT, 84070, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.