Restricted Securities Associate

Restricted Securities Associate 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. An important part of the service provided by EFS includes education and guidance to the FA's, branch management and issuer counsel/corporate clients on SEC rules and operational considerations. The Restricted Securities Associate will interact with multiple internal partners and applications to resolve service requests. The ideal candidate for this role will be able to offer knowledgeable support in a professional and efficient manner while taking the initiative to stay up to date on both company products and services. Position Summary and Responsibilities: Review service requests, verify accuracy of information, and approve / deny based on predefined criteria Coordinate with various business partners within the EFS department to process service requests Follow-up/respond to Branch inquiry requests and advise on proper documentation and procedures Responsible for the daily monitoring of account activity Perform record keeping activities and ensure data accuracy Generate and analyze reports as needed. Ability to present multiple options to resolve complex inquiries, recognize gaps in processes, and collaborate with team to increase efficiency

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