Restricted Securities Associate

Executive Financial Services(“EFS”) at Morgan Stanley @ Work, is the industry leader in the suite of services supporting products and transactions related to HNW Clients. We dedicate focus to senior executives of public companies to assist in liquidity needs through understanding the complexities and requirements related to compliance and regulatory framework. EFS plays an integral role at the Firm as subject matter experts, and are key in driving positive franchise results year after year, and maintaining the highest rank in the industry in quality and service.

• Respond to general inquiries from the WM Field related to restricted securities including gathering relevant information to inform on the appropriate solution.
• Review submitted client transaction requests and the required documents for detail accuracy of the facts presented related to the exemptions under Rule 144, including pledging/ the use of collateral for certain lending products and special situations that involve the resale of securities under certain Registration Statements, including Direct Public Offering’s (DPO), Special Purpose Acquisition Corps (SPAC), PIPES, Reg-S Offerings.
• Perform due diligence with the Company legal teams on proposed client transaction; liaise with Financial Advisors/Branch if additional information is required to send the approval to transact.
• You own the transaction from beginning to end, including filing public documents to support the clients filing obligations pursuant to Rule 144; organizing, updating and maintaining the electronic records of the transaction in our proprietary books and records system.
• Collaborate with your team, EFS’s many partners including Legal, Risk, Compliance, Technology, Operations, Project Manager’s and others and continually assist in improving functions and processes always striving for a seamless client experience.
• Responsible for assigned projects delivering objectives and key results for the restricted securities team, EFS and Morgan Stanley @Work

• You bring a learning mindset that believes in applying what you learn to drive success.
• You are excited about taking on challenging and nuanced situations to address the needs of our clients and partners.
• Self-starting and taking ownership of your transactions/projects from the beginning to the end.
• You have great analytical and deductive skills that guide you in efficient and successful outcomes.
• You are excited to operate in a time sensitive manner in a high paced environment while managing balancing priorities.
• You have an appreciation for the importance of following procedures, structure, and process under which you will be operating under.

• At high level you understand the regulations and exemptions of Rule 144, and equity securities and the different nature of acquisitions.
• You worked at a Wealth Management Branch with Financial Advisors and assisted in servicing product operational needs of clients.
• You understand the general functions and process of divisions such as operations, lending, stock plan administration and trading.
• You have general understanding of the different types of products offered to clients who are affiliate of public companies and the requirements that must be met.
• While being FINRA licensed is not a requirement, we may be open to sponsoring you.
• Proficiency in the Microsoft workplace suite of products.
• Detail oriented with superior organization skills.
• Positive, proactive, and professional approach to all role responsibilities.
• Excellent written and verbal communication with the ability to anticipate and articulate follow up questions and answers.

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