Operations Associate – Transfer Agency

This is a fully remote position, open to applicants in India.

📋 Description

• Oversee the daily operations of a U.S. stock transfer agency.

• Manage transfers, issuances, and DTC activities (DWAC, DRS, FAST) adhering to maker-checker controls.

• Address reconciliation issues and out-of-balance items on the same day.

• Evaluate KYC/KYB documentation and assess false positives against primary sources.

• Promptly escalate OFAC/sanctions and adverse-media matches.

• Respond to shareholder and issuer support inquiries via queue, email, and phone.

• Assist with SEC compliance reporting (Rules 17Ad-2/17Ad-6/17Ad-17, DTCC CBRS, escheatment).

• Facilitate proxy season, paying agency, and processing of corporate actions.

• Aid in the onboarding of new issuers and the ingestion of legacy records.

• Identify SOP gaps and procedural deviations to the Operations Lead.

⛳️ Requirements

• Minimum of 3 years experience in securities or transfer agency operations.

• Experience with an RTA, global transfer agent, asset manager, or bank securities-services center.

• Proficient in data management: Excel/Sheets, and handling various file formats (CSV, fixed-width).

• Comfortable using Claude or a similar AI assistant.

• Exceptional attention to detail and proficiency in written English.

• Dependability regarding strict deadlines; this position operates on U.S. Eastern Time (ET) hours.

• High level of integrity and discretion in managing PII and material non-public information.

• Familiarity with DTC/DTCC systems (FAST, DWAC, DRS Profile, CBRS) and SEC 17Ad-series regulations.

• Experience with record conversions/deconversions or legacy data migrations.

• Knowledge of Rule 144, medallion guarantees, escheatment, KYC/KYB, or AML.

• Background in supporting U.S. or cross-border clients from India with respect to U.S.-hours SLAs.

🏝️ Benefits

• Opportunity for equity participation.

• Comprehensive health insurance coverage for self and family.

• Paid leave along with wellness benefits.

• Fully remote position based in India, operating on U.S. Eastern Time (ET) hours.