Restricted Securities Associate
Core
Perform due diligence and approve transactions for restricted and control securities for high-net-worth clients, ensuring compliance with Rule 144 and related regulations.
Role type
Restricted Securities Associate
Builds
Transaction approvals and filings for client securities trades
Domain
Wealth Management / Financial Services
Deliverable
client delivery
Required skills
Rule 144 knowledge, equity securities understanding, transaction due diligence, regulatory compliance, public document filing, record management
Preferred skills
Wealth Management Branch experience, operations/lending/trading process knowledge, affiliate product requirements understanding
Technologies
Microsoft Office suite
Responsibilities
Respond to field inquiries on restricted securities, review client transaction requests and documents, perform due diligence with legal teams, file public documents, maintain electronic records, collaborate with partners to improve processes
Seniority
Individual Contributor