Restricted Securities & Compliance Analyst

Morgan-Stanley; Sandy (UT); On-site; USD 70,000 - 110,000; Full time

Job summary

Morgan Stanley is seeking a Restricted Securities Associate within Executive Financial Services. The role involves reviewing service requests, coordinating with internal partners, and ensuring precise data handling.

You’ll support 10b5-1 contracts, SEC filings, and related brokerage operations while delivering clear guidance to clients and teams. Ideal candidates have 2–5 years in financial services, strong Excel skills, and a solid understanding of brokerage processes.

Qualifications

• Bachelor's degree in finance or related field.
• 2-5 years of financial sales/service experience.
• Fundamental knowledge of brokerage business.
• Strong Excel and data analysis skills.

Responsibilities

• Review service requests, verify information, and approve/deny per criteria.
• Coordinate with EFS partners to process requests.
• Follow up with branch inquiries and advise on documentation.
• Record keeping and data accuracy duties.
• Generate and analyze reports as needed.

Skills

Financial analysis

Client service

Critical thinking

Attention to detail

Team collaboration

Education

Bachelor's degree in Finance or related field

Tools

Excel

Job description

Morgan Stanley is seeking a Restricted Securities Associate within Executive Financial Services. The role involves reviewing service requests, coordinating with internal partners, and ensuring precise data handling.

You’ll support 10b5-1 contracts, SEC filings, and related brokerage operations while delivering clear guidance to clients and teams. Ideal candidates have 2–5 years in financial services, strong Excel skills, and a solid understanding of brokerage processes.