Operations Associate (Transfer Agency)
New
V
Vinyl EquitySecurities / Transfer Agency
Fully remote (India), working U.S. Eastern Time (ET) hours, U.S. Eastern Time (ET)Full-TimeMiddle
SalaryCompetitive compensation based on experience
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Job Details
- Languages
- English
- Experience
- 3+ years
- Required Skills
- Microsoft ExcelGoogle Sheets
Requirements
- 3+ years in securities or transfer agency operations.
- Background at an RTA, global transfer agent, asset manager, or bank securities-services center.
- Strong data skills: Excel/Sheets, unfamiliar file formats (CSV, fixed-width).
- Confident user of Claude or an equivalent AI assistant.
- Meticulous attention to detail and clear written English.
- Reliability against hard cutoffs; must operate on U.S. Eastern Time (ET) hours.
- High integrity and discretion handling PII and material non-public information.
Responsibilities
- Process transfers, issuances, and DTC activity (DWAC, DRS, FAST) under maker-checker controls.
- Resolve reconciliation and out-of-balance items same-day.
- Review KYC/KYB documentation and triage false positives against primary sources.
- Escalate OFAC/sanctions and adverse-media matches immediately.
- Handle shareholder and issuer support requests via queue, email, and phone.
- Support SEC compliance reporting (Rules 17Ad-2/17Ad-6/17Ad-17, DTCC CBRS, escheatment).
- Support proxy season, paying agency, and corporate actions processing.
- Support new-issuer onboarding and legacy record ingestion.
- Flag SOP gaps and procedure drift to the Operations Lead.
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