Restricted Securities Associate
Core
Perform due diligence and approve transactions for restricted and control securities for senior executives of public companies.
Role type
Restricted Securities Associate
Builds
Transaction approvals and filings for Rule 144 exemptions, DPOs, SPACs, and PIPES.
Domain
Wealth Management / Securities Regulation
Required skills
Rule 144 knowledge, equity securities understanding, transaction lifecycle management, public document filing, electronic records maintenance, regulatory compliance analysis
Preferred skills
FINRA license, wealth management branch experience, operations/lending/stock plan knowledge, affiliate transaction requirements
Technologies
Microsoft Office Suite
Responsibilities
Respond to WM Field inquiries on restricted securities; Review client transaction requests for accuracy under Rule 144; Perform due diligence with legal teams; Own transaction from start to finish including filings; Collaborate with Legal, Risk, Compliance, and Operations; Deliver assigned project objectives.
Seniority
Individual Contributor
