Operations Associate ( Transfer Agency)
Confirmed on the employer's own hiring board on Oct 26, 2026. First seen by Alion on Sep 8, 2026.
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 protected].