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Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

 

Summary:

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

Expected base pay rates for the role will be between $57,000 and $115,000 per year at the commencement of employment.  However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

 Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. 

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. 

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).