Process Executive

Job Description

Management Level I Position: Restricted Securities specialist - Company Desk Location: India Reports to: Team leader Effective Date: June 2021 PURPOSE OF POSITION Ensure the prompt and accurate handling of requests from on behalf of our clients, as a service to high level executives and/or shareholders. Act as a liaison between the ASTManagement/Relationship Managers and clients ensuring the daily review and completion daily work assigned. ESSENTIAL DUTIES & RESPONSIBILITIES Review and action incoming instructions from shareholders, clients and internal business partners for transaction processing in accordance with AST guidleines. Ensure adherence to Service Level Agreements (SLAs), departmental and regulatory turnaround times (as applicable) of all items submitted for processing. Review instructions from client (via legal counsel) and execute in accordance with Securities, Exchange Commission and Stock Transfer Agency guidelines. This includes data entry into the processing platform of debits, credits, account maintenance transactions, account adjustments, internal and external communiciations Ensure incoming work is properly processed on a daily basis Back-up other processing areas as needed, for example processing of items received from the Depository Trust Company (DTC) group, including DWACs (Deposit/Withdrawal at Custodian) Other duties as assigned WORK ENVIRONMENT AND PHYSICAL DEMANDS Essential functions are typically performed in an office setting Ability to safely and successfully perform the essential job functions Ability to maintain regular, punctual attendance consistent with AST policy standards Noise level is medium Able to endure prolonged seating/standing associated with the performance of essential functions. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions POSITION REQUIREMENTS Associate Degree or 3 – 5 years of transfer agent experience Strong communication & organizational skills Attention to detail Intermediate proficiency in the Microsoft Office suite PREFERRED Working knowledge of SEC regulations for stock transfer. STA guidelines for Restricted Stock Processes. REVIEWED BY Employee _____________________________________________________Date_____________________ Manager _________________________________________________Date_____________________ We are committed to equality of opportunity for all staff and applications from individuals are encouraged regardless of age, disability, sex, gender reassignment, sexual orientation, pregnancy and maternity, race, religion or belief and marriage and civil partnerships. Please note any offer of employment is subject to satisfactory pre-employment screening checks.