Description

You will lead a team and own the full corporate actions lifecycle—from announcement through allocation and reconciliation—across equities, ETFs, mutual funds, and fixed income. Your work will drive modernization, automation, and control initiatives to deliver a scalable, audit-ready operation.

Requirements

• 8+ 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.
• Strong ownership and pride in work.
• Excellent communication skills.
• Resilience and determination.
• Confidence with humility and openness to differing perspectives.
• Creative problem-solving skills.

Responsibilities

• Manage a team of Corporate Actions professionals.
• Monitor, review, and process all mandatory and voluntary corporate actions—mergers, splits, rights issues, tender offers, warrants—from announcement through completion.
• Oversee dividends, interest, and related payments; ensure 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 (STP).
• Identify, escalate, and resolve discrepancies; ensure compliance with internal policies and regulatory requirements.
• Build and maintain robust process documentation, playbooks, and standard operating procedures to support scalability and training.
• Manage key vendor and platform relationships (DTCC, proxy vendors, custodians), and contribute to platform enhancements (FIS, XSP/Phase3, AIP).