Business Solutions Representative - Associate

Morgan Stanley • Alpharetta, GA

44d

About The Position

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. EFS Business Solutions Representatives are responsible for working directly with Executive Relationship Managers, 10b5-1 Services, and Shareworks Executive Financial Services to successfully complete required regulatory filings on behalf of issuer affiliates in a timely and accurate manner. This requires developing familiarity with Morgan Stanley at Work platforms such as Shareworks, Solium Capital, and ETRADE. This high visibility role is essential in supporting and maintaining the white glove service our clients have come to expect.

Requirements

• Demonstrated effectiveness with both oral and written communication
• Strong time management, prioritization, and multi-tasking skills
• Must be a quick learner with ability to work independently and possess an intrinsic sense of accountability/ownership
• Exceptional critical thinking and problem-solving skills with strong attention to detail
• Aptitude for working with numerical information
• Ability to work in a team environment and partner with multiple individuals across various groups
• Must be comfortable working with evolving processes, systems, and environments which require ongoing learning and adaptability.
• Ability to work in a fast-paced environment with periods of high volumes and pressure to meet daily deadlines
• Comfortable learning new technology

Nice To Haves

• Familiarity with SEC Rule 144 is strongly preferred.
• Current SIE/Series 7 and 63 licenses are preferred, but not required.
• A bachelor's degree or equivalent experience in a related field is preferred.
• Proficiency with Microsoft Excel and PowerPoint
• An understanding of the workings of the equity compensation business and/or a finance background is a plus

Responsibilities

• Assisting Executive Relationship Managers with inquiries regarding required due diligence policies and procedures
• Maintaining a high level of knowledge regarding Rule 144, Section 16, restricted/control securities, SEC EDGAR requirements, and Morgan Stanley's legal/compliance affiliate trading policies
• Developing a thorough understanding of corporate equity plans and security types/transactions, such as stock option exercises, restricted stock vesting, SARS, and related administration
• Identifying process enhancement opportunities and working with various internal business partners
• Maintenance of accurate records pertaining to actionable items, their current status, and completed regulatory filings
• Strict adherence to established processes to ensure accuracy, compliance, and audit requirements are consistently achieved
• Personal familiarization with departmental processes/policies to facilitate independent completion of designated tasks and self-sufficiency

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Number of Employees: 5,001-10,000 employees