Business Solutions Representative, Associate/AVP

Position Summary & Responsibilities

EFS Business Solutions Representatives are responsible for working directly with Executive Relationship Managers, 10b5-1 Services, and Shareworks Executive Financial Services to successfully complete required regulatory filings on behalf of issuer affiliates in a timely and accurate manner. This requires developing familiarity with Morgan Stanley at Work platforms such as Shareworks, Solium Capital, and E*TRADE. This high visibility role is essential in supporting and maintaining the white glove service our clients have come to expect.

• Assisting Executive Relationship Managers with inquiries regarding required due diligence policies and procedures
• Maintaining a high level of knowledge regarding Rule 144, Section 16, restricted/control securities, SEC EDGAR requirements, and Morgan Stanley’s legal/compliance affiliate trading policies
• Developing a thorough understanding of corporate equity plans and security types/transactions, such as stock option exercises, restricted stock vesting, SARS, and related administration
• Identifying process enhancement opportunities and working with various internal business partners
• Maintenance of accurate records pertaining to actionable items, their current status, and completed regulatory filings
• Strict adherence to established processes to ensure accuracy, compliance, and audit requirements are consistently achieved

Role Qualifications

• Familiarity with SEC Rule 144 is strongly preferred
• Demonstrated effectiveness with both oral and written communication
• Strong time management, prioritization, and multi-tasking skills
• Current SIE/Series 7 and 63 licenses are preferred, but not required
• A bachelor’s degree or equivalent experience in a related field is preferred
• Proficiency with Microsoft Excel and PowerPoint
• Must be a quick learner with ability to work independently and possess an intrinsic sense of accountability/ownership
• Exceptional critical thinking and problem-solving skills with strong attention to detail
• Aptitude for working with numerical information
• Ability to work in a team environment and partner with multiple individuals across various groups
• Must be comfortable working with evolving processes, systems, and environments which require ongoing learning and adaptability
• Ability to work in a fast-paced environment with periods of high volumes and pressure to meet daily deadlines
• Comfortable learning new technology
• An understanding of the workings of the equity compensation business and/or a finance background is a plus