Process Executive

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.

Experience Level

Executive Level