Business Solutions Representative, Associate/AVP

Our Insights Personal Finance Market Trends Technology & Disruption Sustainability Diversity & Inclusion What We Do Wealth Management Investment Banking & Capital Markets Sales & Trading Research Investment Management Morgan Stanley at Work Sustainable Investing Inclusive Innovation About Us Core Values Leadership History Locations Diversity Sustainability Giving Back Technology Careers Students & Graduates Experienced Professionals LanguageEnglishFrench Single PositionView All JobsBusiness Solutions Representative, AssociateNew York, New York, United States of America No longer accepting applications.Employment TypeFull timeJob LevelProfessionalYou are required to review the Firm’s Mobility Guidelines on careerhub/ prior to submitting your application to ensure you understand and abide by your obligations under the Firm policy.JOB LEVELAssociate (Professional)TIERNAMorgan 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 ethics. Morgan Stanley provides a superior foundation for building a professional career - a place for people to learn, achieve, and grow. A philosophy that balances personal lifestyles, perspectives, and needs is an important part of our culture.DEPARTMENT PROFILE: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.POSITION SUMMARY & RESPONSIBILITIES: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 E*TRADE. This high visibility role is essential in supporting and maintaining the white glove service our clients have come to expect.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-sufficiencyRole Qualifications- Familiarity with SEC Rule 144 is strongly preferred.- Demonstrated...