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.
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.
As part of the Restricted Securities Specialist Team you will devote your time to performing due diligence and approving transactions related to restricted and control securities. You will liaise with Financial Advisors and their client's, Issuer's counsels, Legal, Compliance, Risk, Structured Products, Private Bank, Stock Plan services and Senior MS Management. You will play an active role in educating Financial Advisors and Branch Management partners in the EFS service model including guidance and education on the rules related to transact in restricted securities and managing affiliate transactions.
Job Responsibilities: â?¢ Respond to general inquiries from the WM Field related to restricted securities including gathering relevant information to inform on the appropriate solution. â?¢ 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. â?¢ 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. â?¢ 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. â?¢ 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. â?¢ Responsible for assigned projects delivering objectives and key results for the restricted securities team, EFS and Morgan Stanley @Work
To be successful in this role: â?¢ You bring a learning mindset that believes in applying what you learn to drive success. â?¢ You are excited about taking on challenging and nuanced situations to address the needs of our clients and partners. â?¢ Self-starting and taking ownership of your transactions/projects from the beginning to the end. â?¢ You have great analytical and deductive skills that guide you in efficient and successful outcomes. â?¢ You are excited to operate in a time sensitive manner in a high paced environment while managing balancing priorities. â?¢ You have an appreciation for the importance of following procedures, structure, and process under which you will be operating under.
The qualities and qualifications you bring: â?¢ Bachelor's degree is required â?¢ At high level you understand the regulations and exemptions of Rule 144, and equity securities and the different nature of acquisitions. â?¢ You worked at a Wealth Management Branch with Financial Advisors and assisted in servicing product operational needs of clients. â?¢ You understand the general functions and process of divisions such as operations, lending, stock plan administration and trading. â?¢ 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. â?¢ While being FINRA licensed is not a requirement, we may be open to sponsoring you. â?¢ Proficiency in the Microsoft workplace suite of products. â?¢ Detail oriented with superior organization skills. â?¢ Positive, proactive, and professional approach to all role responsibilities. â?¢ Excellent written and verbal communication with the ability to anticipate and articulate follow up questions and answers. .
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).
Expected base pay rates for the role will be between $60,000 - $110,000 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.
