RM associate/Principle Process Executive

Reports To

Site Director

Function

EQ US - Issuer & Investor Services (EQi)

Date

October 2024

Job Summary

The RM Associate is an entry-level role within the Issuer and Investor Services division. The main objective of this role is to assist Relationship Managers (RMs) with non-customer-facing tasks. These tasks include:

• Setting up dividends
• Researching items across EQ systems
• Coordinating with share proof and proxy ship-out memos
• Reviewing and approving Excel files
• Removing lockup legends
• Generating duplicate statements for clients
• Researching and maintaining tax information
• Distributing and collecting authorized signers and wire initiators/requests
• Generating repeatable reports for issuers

The RM Associate must also become familiar with various systems like Unity, Sirius, and Workday.

Essential Functions

1. Client Satisfaction & Retention (55%)

   : Ensure clients are satisfied with prompt and accurate responses.

2. Regulatory Compliance (10%)

   : Ensure regulatory compliance by distributing necessary government forms and receiving required authorizations.

3. Revenue Opportunities (20%)

   : Free up Relationship Managers by handling administrative tasks, enabling them to focus on upselling and cross-selling.

4. Work Recording & Relationships (15%)

   : Maintain records and build relationships for efficient access to client portfolios.

Scope of Job

The RM Associate works with a team of RMs, with each RM managing a portfolio of clients. These portfolios vary based on factors like client size, revenue, and future potential. The role requires interpreting requests from RMs and managing day-to-day administrative tasks. While the Site Director supervises day-to-day tasks, the Relationship Directors and RMs will guide the role's overall direction.

Key Criteria

Qualifications & Experience

• Essential

  : Ability to learn and use new technology systems to access information (e.g., Microsoft Office, Sirius, Workday, Unity).

• Desirable

  : Knowledge of Salesforce, and some familiarity with tax information and portfolio management.

Skills & Abilities

• Essential

  : Analytical ability, prioritization, time management, attention to detail, and communication skills.

• Desirable

  : Ability to interpret requests and think self-directively about the best way to handle them. Strong written communication, particularly with internal teams in the U.S.

Other Job-Related Requirements

• Ability to work independently but with strong guidance from RMs and Relationship Directors.
• Must be familiar with documentation review for compliance to EQ policies.