Morgan Stanley
Restricted Securities Associate
$70K–$95K
Purchase, New York · On-site · Full-time · Posted Oct 8, 2026
About the job
Reviews and approves restricted and control securities transactions, guiding clients and partners through due diligence, regulatory requirements, and transaction processing.
What you'll do
- Review transaction requests and supporting documents for Rule 144 exemptions and related securities transactions; perform due diligence with company legal teams.
- Manage transactions end to end, including required public filings and maintaining electronic records.
- Respond to field inquiries, educate Financial Advisors and Branch Management, and contribute to team projects and process improvements.
What they ask for
- Understand Rule 144 regulations and exemptions, equity securities, and types of acquisitions.
- Experience working at a Wealth Management Branch with Financial Advisors and supporting clients’ product operational needs.
- Understand general functions and processes across operations, lending, stock plan administration, and trading.
- Proficiency in the Microsoft workplace suite of products.
Pay
$70,000 to $95,000 per year (base salary)
Tools
Microsoft workplace suite, Rule 144
Model-written summary · the original posting is authoritative