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Operations Associate ( Transfer Agency)
Vinyl Equity
Remote, IND
Full-time
Mid · 3+ years experience
Remote
Discovered 1 weeks ago
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Role Overview
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 Skills for This Role
CSVClaudeDTCDTCCFASTDWAC
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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
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