Operations Associate ( Transfer Agency)

ABOUT THE ROLE

You'll execute the day-to-day operations of a U.S. stock transfer agency — transaction processing, KYC/KYB, shareholder support, and compliance reporting — under our Operations Lead as we build out the India Operations team. This is a builder-of-execution role: precision, escalation judgment, and SOP discipline first; process ownership grows as you do.

KEY 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

ROLE 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; this role operates on U.S. Eastern Time (ET) hours

• High integrity and discretion handling PII and material non-public information

NICE TO HAVES

• Exposure to DTC/DTCC systems (FAST, DWAC, DRS Profile, CBRS) and SEC 17Ad-series rules

• Experience with record conversions/deconversions or legacy data migration

• Familiarity with Rule 144, medallion guarantees, escheatment, KYC/KYB, or AML

• Experience supporting U.S. or cross-border clients from India against U.S.-hours SLAs

BENEFITS

• Competitive compensation based on experience

• Equity participation

• Comprehensive health insurance (self + family)

• Paid leave and wellness benefits

• Fully remote (India), working U.S. Eastern Time (ET) hours

To apply: send your résumé to [email removed].