Tech Stack

Description

You will lead a team of corporate actions professionals to manage the full lifecycle of corporate events across equities, ETFs, mutual funds, and fixed income. Your role involves modernizing workflows, enhancing controls, and partnering with cross-functional teams to deliver a scalable, audit-ready operation.

Requirements

• 5+ years of experience in brokerage, clearing, or custody operations focused on managing corporate actions teams
• Strong working knowledge of DTCC PBS
• Deep understanding of mandatory and voluntary event types, timelines, market standards, and tax/cost-basis implications
• Bachelor's degree or equivalent experience
• Series 7, 63, and 24 securities licenses

Responsibilities

• Manage a team of Corporate Actions professionals
• Monitor, review, and process all mandatory and voluntary corporate actions from announcement through completion
• Oversee dividends, interest, and related payments ensuring proper withholding, tax treatment, and cost-basis adjustments
• Manage announcements, options, elections, allocations, entitlements, and reconciliations with accuracy and timeliness
• Communicate voluntary event details, collect instructions, and submit elections via custodians, DTCC PBS/CA Web/AIP, or proxy agents within deadlines
• Implement and monitor maker-checker controls, exception dashboards, KPIs, and audit-ready evidence
• Partner with Product and Engineering to streamline workflows, UAT new builds, and drive straight-through processing
• Identify, escalate, and resolve discrepancies ensuring compliance with internal policies and regulatory requirements
• Build and maintain robust process documentation, playbooks, and standard operating procedures
• Manage key vendor and platform relationships (DTCC, proxy vendors, custodians) and contribute to platform enhancements