Operations Lead – Transfer Agency

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

📋 Description

• Recruit, train, and oversee the India Operations team; establish roles, onboarding processes, and coverage during IST/U.S. Eastern hours.

• Take ownership of service quality from start to finish: SLAs, maker-checker controls, error tracking, and escalation procedures.

• Manage the SOP library; address documentation gaps and promote automation in collaboration with U.S. operations, compliance, and engineering teams.

• Conduct daily DTC operations: review pending transfers, process DWAC/DRS, and balance FAST/SCL.

• Process issuances and treasury orders following maker-checker controls.

• Review and process routine, estate, broker, and certificate-to-DRS transfers, ensuring document and medallion verification.

• Handle KYC/KYB review and OFAC/adverse-media screening, escalating any matches immediately.

• Provide support to shareholders and issuers, addressing account inquiries, lost-holder cases, and certificate replacements.

• Manage recurring SEC compliance reporting under Rules 17Ad-2/17Ad-6/17Ad-17, DTCC CBRS, and escheatment processes.

• Lead proxy season, pay agency, and the execution of corporate actions.

• Oversee new-issuer onboarding, including appointment packages, DTC agent-change notifications, and legacy record integration.

• Write and maintain SOPs; foster process improvements and automation in collaboration with engineering.

⛳️ Requirements

• 10+ years of experience in securities or transfer agency operations (global transfer agent, Indian RTA, asset manager, or bank securities-services center).

• Demonstrated ability to build and lead operations teams from the ground up.

• Strong adherence to written procedures and the judgment to escalate when an issue falls outside of established guidelines.

• Bachelor’s degree in commerce, finance, accounting, or a related field.

• Proficient data skills: Excel/Sheets, handling unfamiliar file formats; basic scripting knowledge is advantageous.

• Expert proficiency with Claude or a similar AI assistant.

• Exceptional attention to detail and clarity in written English.

• Dependability in meeting strict deadlines; this role requires availability during 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, Cede & Co., CBRS, omnibus proxies) and SEC 17Ad-series regulations.

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

• Knowledge of Rule 144, medallion guarantees, escheatment, KYC/KYB, AML, or the logistics of proxy/annual meetings.

• Experience managing U.S. or cross-border operations from India, adhering to U.S.-hours SLAs.

🏝️ Benefits

• Equity participation.

• Comprehensive health insurance.

• Paid leave.

• Wellness benefits.

• Fully remote position (India).

• A genuine zero-to-one leadership opportunity, supported by the U.S. leadership team.

• A modern operational environment equipped with purpose-built tools and AI assistance.