Restricted Securities Associate
Core
Execute and support transactions involving restricted or control stock, including Rule 144, Rule 10b5-1 trading plans, and SEC filings for corporate insiders and affiliates.
Role type
Restricted Securities Associate
Builds
SEC filings, clearing and settlement of restricted trades, and 10b5-1 contracts
Domain
Financial services / Securities regulation
Deliverable
client delivery
Required skills
Brokerage business knowledge, data analysis, Excel, critical thinking, attention to detail
Preferred skills
Rule 10b5-1 trading plans, Section 16, restricted stock, Rule 144, equity compensation
Technologies
Excel
Responsibilities
Review and approve/deny service requests based on predefined criteria, coordinate with business partners to process requests, monitor account activity daily, generate and analyze reports
Seniority
Mid-level IC
Sourced via workday · Listed on CareerPlan, which tracks 70,000+ jobs from 20+ sources.