Restricted Securities Associate
Core
Process service requests for restricted or control stock transactions, including Rule 144, Rule 10b5-1 trading plans, and legend removals for corporate insiders and affiliates.
Role type
Restricted Securities Associate
Builds
SEC filings, clearing, and settlement of restricted trades
Domain
Financial Services / Securities
Required skills
Brokerage business knowledge, Excel, data analysis, critical thinking, attention to detail
Preferred skills
Executive financial services experience, Rule 10b5-1, Section 16, restricted stock, Rule 144, equity compensation
Responsibilities
Review and approve/deny service requests based on predefined criteria, coordinate with business partners to process requests, monitor account activity daily, perform record keeping and data accuracy checks, generate and analyze reports
Seniority
Mid-level, 2-5 years experience