Operations Associate ( Transfer Agency)

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] .