Operations Lead (Transfer Agency)
V
Vinyl EquitySecurities / Finance
Fully remote (India), U.S. Eastern Time (ET) hoursFull-TimeLead
SalaryCompetitive compensation commensurate with experience
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Job Details
- Languages
- English
- Experience
- 10+ years
- Required Skills
- Microsoft ExcelGoogle Sheets
Requirements
- 10+ years in securities or transfer agency operations (global transfer agent, Indian RTA, asset manager, or bank securities-services center).
- Proven experience building and leading operations teams from scratch.
- Bachelor's degree in commerce, finance, accounting, or a related field.
- Strong data skills including proficiency in Excel/Sheets and handling unfamiliar file formats.
- Basic scripting ability is a plus.
- Expert user of Claude or an equivalent AI assistant.
- Meticulous attention to detail and clear written English.
- High integrity and discretion handling PII and material non-public information.
- Ability to work U.S. Eastern Time (ET) hours.
- Deep respect for written procedure and judgment to escalate cases appropriately.
Responsibilities
- Recruit, train, and manage the India Operations team; define roles, onboarding, and coverage across IST/U.S. Eastern hours.
- Own service quality end-to-end including SLAs, maker-checker controls, error tracking, and escalation.
- Own the SOP library, close documentation gaps, and drive automation with U.S. operations, compliance, and engineering.
- Run daily DTC operations including pending-transfer reviews, DWAC/DRS processing, and FAST/SCL balancing.
- Process issuances, treasury orders, and transfers under maker-checker controls.
- Own KYC/KYB review and OFAC/adverse-media screening with immediate escalation.
- Handle shareholder and issuer support for account inquiries, lost-holder cases, and certificate replacements.
- Manage recurring SEC compliance reporting including Rules 17Ad-2, 17Ad-6, 17Ad-17, DTCC CBRS, and escheatment.
- Lead proxy season, paying agency, and corporate actions execution.
- Own new-issuer onboarding, including appointment packages and legacy record ingestion.
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