Operations Lead ( Transfer Agency)
Accountabilities Build and lead the operations team: Recruit, onboard, train, and manage the India-based operations team, define responsibilities, establish performance expectations, and design coverage across Indian Standard Time (IST) and U.S. Eastern Time (ET).
Manage operational quality and controls: Own end-to-end service delivery, establish and monitor service-level agreements (SLAs), implement maker-checker controls, track errors, manage escalations, and ensure consistent operational accuracy.
Develop procedures and documentation: Create, maintain, and improve the standard operating procedures (SOPs) library, close documentation gaps, and establish clear workflows for recurring and exception-based activities.
Oversee daily securities processing: Manage pending-transfer reviews, Depository Trust Company (DTC) operations, DWAC and DRS processing, and FAST/SCL balancing to maintain accurate and timely transaction processing.
Manage issuances and treasury orders: Review and process securities issuances and treasury-related orders in accordance with established verification procedures and maker-checker controls.
Supervise shareholder transfers: Review and process routine transfers, estate-related transactions, broker transfers, and certificate-to-DRS conversions, ensuring appropriate documentation and medallion signature guarantee verification.
Oversee compliance and risk screening: Manage Know Your Customer (KYC) and Know Your Business (KYB) reviews, sanctions screening through the Office of Foreign Assets Control (OFAC), and adverse-media checks, escalating potential matches or compliance concerns immediately.
Manage shareholder and issuer services: Oversee account inquiries, lost-holder cases, replacement certificates, and other shareholder support requests while ensuring accurate records and timely resolution.
Own regulatory and compliance reporting: Manage recurring Securities and Exchange Commission (SEC) reporting obligations, including applicable Rules 17Ad-2, 17Ad-6, and 17Ad-17, DTCC Customer-By-Customer Recordkeeping System (CBRS) reporting, and escheatment-related processes.
Lead corporate actions and annual meeting activities: Coordinate proxy season, paying agency operations, corporate actions, and related shareholder communications and execution requirements.
Manage new-issuer onboarding: Oversee issuer appointment documentation, DTC agent-change notifications, and the ingestion, validation, and reconciliation of legacy shareholder records.
Drive automation and continuous improvement: Collaborate with U.S. operations, compliance, and engineering teams to streamline workflows, improve controls, introduce automation, and enhance operational scalability.
Leverage AI-enabled tools: Use modern operational technology and AI assistants to improve productivity, support documentation, and strengthen process consistency while maintaining appropriate oversight and data confidentiality.
Requirements:
Extensive industry experience: At least 10 years of experience in securities operations or transfer agency services, ideally within a global transfer agent, Indian Registrar and Transfer Agent (RTA), asset management firm, or bank securities-services center.
Team-building and leadership expertise: Demonstrated experience establishing and leading operations teams from the ground up, including recruitment, training, process design, performance management, and operational scaling.
Strong transfer agency knowledge: A thorough understanding of securities processing, shareholder recordkeeping, transfer procedures, and the operational controls required to maintain accurate share registers.
Relevant education: A bachelor's degree in commerce, finance, accounting, or a related discipline.
Process discipline and sound judgment: A strong commitment to documented procedures, attention to detail, and the ability to recognize exceptions, assess risks, and escalate cases appropriately.
Regulatory and compliance awareness: Understanding of securities-related compliance obligations, transaction verification, shareholder documentation, and risk-screening procedures.
Data and analytical skills: Strong proficiency in Microsoft Excel or Google Sheets, with the ability to analyze large datasets, work with unfamiliar file formats, validate records, and identify inconsistencies. Basic scripting skills are an advantage.
AI proficiency: Expert-level familiarity with Claude or an equivalent AI assistant, including the ability to use AI tools effectively to support operational workflows and improve productivity.
Excellent written communication: Strong written English skills, with the ability to prepare clear SOPs, document decisions, communicate with stakeholders, and maintain accurate operational records.
Reliability under strict deadlines: Demonstrated ability to meet firm processing cutoffs, manage time-sensitive transactions, and maintain service quality while working according to U.S. Eastern Time requirements.
Integrity and confidentiality: High ethical standards and discretion when handling personally identifiable information (PII), sensitive shareholder records, and material non-public information.
Cross-functional collaboration: Ability to work effectively with international teams, including operations, compliance, engineering, and senior leadership, to resolve issues and improve service delivery.
Nice-to-have qualifications:
Familiarity with DTC and DTCC systems and processes, including FAST, DWAC, DRS Profile, Cede & Co., CBRS, and omnibus proxies.
Knowledge of SEC Rule 17Ad-series requirements and related transfer agency regulations.
Experience with record conversions, deconversions, legacy data migrations, and shareholder record reconciliation.
Familiarity with Rule 144, medallion signature guarantees, escheatment, KYC/KYB, anti-money laundering (AML), and proxy or annual meeting administration.
Previous experience managing U.S. or cross-border operations from India while meeting U.S.-hours service-level agreements.
Benefits:
Competitive compensation: Salary commensurate with experience, expertise, and leadership capabilities.
Equity participation: Opportunity to participate in the company's equity program.
Comprehensive health coverage: Health insurance designed to support your well-being.
Paid leave and wellness benefits: Access to leave provisions and wellness-related benefits.
Fully remote work: Work remotely from India while collaborating with U.S.-based leadership and international stakeholders.
Leadership ownership: Take on a genuine zero-to-one leadership mandate, with the opportunity to build and shape an operations function from its earliest stages.
Executive support: Work closely with U.S. leadership to establish operational strategy, processes, and team structure.
Modern technology environment: Use purpose-built operational tools and AI-assisted workflows to improve efficiency, consistency, and scalability.
Professional growth: Develop specialized expertise in U.S. securities operations, transfer agency services, regulatory compliance, and international team leadership.
Opportunity to make a lasting impact: Build the systems, standards, and culture that will support the long-term growth of the operations function.
How Jobgether works: We use an AI-powered matching process to ensure your application is reviewed quickly, objectively, and fairly against the role's core requirements. Our system identifies the top-fitting candidates, and this shortlist is then shared directly with the hiring company. The final decision and next steps (interviews, assessments) are managed by their internal team. We appreciate your interest and wish you the best! Why Apply Through Jobgether?
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