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Supervisor of Transfer Agent Operations

3+ months agoLong Island, NY

In this role, the Supervisor will be responsible for the daily oversight of associates within the team as well as the tasks associated. Responsibilities in this role include ensuring that all service level agreements are met, volumes are assessed and staffing is assigned as necessary, confirm that the team is abiding by all Broadridge, STA, SEC, IRS, and/or any other regulatory requirements, and assist in mitigating risks and assist with problem resolution and escalate as necessary to management. A thorough Stock Transfer industry knowledge, as well as a direct understanding of the roles and responsibilities of all other Transfer Agent aspects is required. The Supervisor will be responsible for meeting with their directs, facilitating regular progress meetings, working on short-term and long-term career goals, providing career coaching, as well handling performance reviews. In this role, emphasis will be placed on assisting in process gap analy sis, automation initiatives, quality improvement initiatives, as well as ensuring process documentation is completed, accurate, and up-to-date. The Supervisor will also be responsible for maintaining volumes and metrics, providing regular updates to management, and business partners. The Supervisor will maintain the team schedule and handle resource coverage and scheduling. In this role, the Supervisor will regularly meet with business partners on a multitude of initiatives to enhance the business and will be tasked with providing management with the team’s progress regularly. The individual in this role will be considered the SME and will provide assistance with testing initiatives, including development items, as well as system defects that require testing. The Supervisor in this role will be required to ensure that the team is scalable – through regular training rotations and ensuring that all team members are cross-trained. The Supervisor will ensure that the team i s BCP/DR ready at all times and that the necessary resources/coverage is available at all times.

Daily oversight of the associates processing of shareholder and DTC presentations related to various stock transfer transaction types including:
- Routine and non-routine transfers
- Inheritance transfers
- Gift transfers
- Cost basis processing
- DTC processing (DWAC & DRS)
- DRIP/DSPP plan enrollments
- New issuances of stock
- Restricted stock transfers

Ensuring proper coverage on a daily basis by assessing incoming volumes and placing resources where necessary. Handling associate scheduling including timecards and time off. Ensuring that the team meets all Service Level Agreements and that we remain in accordance with all regulations and guidelines associated with the tasks that being overseen. Provide training and coaching to associates as required. Handle performance reviews and provide regular meetings with associates. Handling of any escalations/incidents that are escalated such as:

  • Providing support to direct reports
  • Communicating with business partners as necessary
  • Ensuring timely and accurate resolution

Assist management in enhancement and automation initiatives including submitting requests, building requirements, and the subsequent testing requirements.

Locations: Brentwood, New York

Job ID:
Employment Type: Other

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