Restricted Securities Specialist, Financial Markets

Morgan Stanley; Sandy Hills (UT); On-site; USD 60,000 - 90,000; Full time

Job summary

Morgan Stanley is seeking a knowledgeable Restricted Securities Associate in Executive Financial Services. The role focuses on supporting stock-related transactions, 10b5-1 plans, Rule 144 processes, and SEC filings, with emphasis on accuracy and service quality.

You will review requests, coordinate with internal partners, monitor activity, keep records, and generate reports while identifying process gaps and proposing improvements.

Qualifications

• 2–5 years of experience in a financial sales/service environment.
• Bachelor’s degree or equivalent.
• Fundamental knowledge of brokerage business.
• Strong Excel and data analysis skills.

Responsibilities

• Review service requests, verify information, and approve/deny based on criteria.
• Coordinate with EFS partners to process service requests.
• Follow-up on Branch inquiries and advise on documentation and procedures.
• Monitor daily account activity.
• Perform record keeping and ensure data accuracy.
• Generate and analyze reports as needed.
• Present multiple options to resolve complex inquiries and improve processes.

Skills

Excel

Data analysis

Education

Bachelor’s degree

Job description

Morgan Stanley is seeking a knowledgeable Restricted Securities Associate in Executive Financial Services. The role focuses on supporting stock-related transactions, 10b5-1 plans, Rule 144 processes, and SEC filings, with emphasis on accuracy and service quality.

You will review requests, coordinate with internal partners, monitor activity, keep records, and generate reports while identifying process gaps and proposing improvements.