HANDS ON - HEAD OF TRANSFER AGENCY SERVICES - FULL REMOTE
New York City, NY
OPEN JOB: HEAD OF TRANSFER AGENCY SERVICES (hands on)
Previous hands on operational experience as an SEC-registered transfer agent required.
LOCATION: Full Remote PLEASE NOTE: This position currently has no direct reports, the candidate will be initially be doing the work hands.
Our client is seeking an experienced HEAD of TRANSFER AGENCY Services to oversee the maintenance and transfer of their securityholder records and other related matters.
In this role, you will be responsible for creating and building out a NEW transfer agent function within the firm and as the function grows, this candidate will initially be responsible for HANDS ON onboarding and offboarding client shareholders records, ensuring the validity of securities, verifying transfers and other related matters.
key responsibilities will include:
Work on multiple projects while regularly receiving escalated tasks from management and ability to prioritize accordingly.
Communicating with all levels of management as well as board members, attorneys, etc.
Review of Applications for completion and accuracy
Managing unique processing requirements simultaneously across multiple client relationships
Processing of executive trades, prepare and timely file all relevant regulatory paperwork
Follow through to assure that all settlement steps are completed accurately and timely
Providing oversight and controls for routine investment events, such as distributions, liquidation events, splits, and tax reporting cycles
Manage outbound mailings/communications to investors and distribution partners
To be successful, you should have in-depth knowledge of SEC and state regulations applicable to registered transfer agents and federal and state securities and broker-dealer regulations generally, a deep understanding of transfer agent records-keeping software and capitalization table management software, and the ability to make prudent decisions under time pressure.
Technology expertise and interest in evolving technologies is a plus.
Other Transfer Agents Requirements:
Bachelor's degree or higher
Previous operational experience as an SEC-registered transfer agent required.
Knowledge of the working of securities industry.
Strong analytical and problem-solving skills.
Ability to work independently and collaboratively.
Excellent time management and organizational skills.
Executive presence and communication skills.
If you are interested in pursuing this opportunity, please respond back and include the following:
MS WORD Resume
Upon receipt, I will contact you to schedule a convenient time to discuss the position.