Restricted Securities Administrator

Position ID: 5353 Position Title: Restricted Securities AdministratorLocation: New Jersey-NorthernJob Level: ProfessionalDescription
Perform due diligence and risk management for restricted securities transactions in order to minimize the exposure, risk and legal liability to the firm. Focus on learning the rules and regulations governing the SEC, NASD, NYSE, etc. as it relate to stock acquired in a private transaction. Assist in the development and implementation of new policies and procedures. Assists with general questions and inquiries from the branch system.Skills Required

Perform risk management of the restricted securities transactions to minimize liability.

Perform the due diligence necessary to interpret the rules or resale exemptions to liquidate restricted stock.

Update corporate policies and procedures as they relate to restricted and control stock.

Understand the rules and regulations governing restricted stock transactions.

Provide detail analysis of each transaction via the Transaction Management System.Skills Desired



job Requirements


(See Description)