Operations Risk Specialist

Management Level

H

Equiniti is a leading international provider of shareholder, pension, remediation, and credit technology. With over 6000 employees, it supports 37 million people in 120 countries.

EQ US is a leading provider of ownership data management, analytics and advisory services to public and private companies as well as corporate issuers and mutual funds. EQ offers a comprehensive product set, including transfer agency services, cap table management, equity compensation services, proxy solicitation and advisory services, private company solutions and bankruptcy claims administration services. Affiliates include, D.F. King and Co., Inc., Astrella Private Company Solutions, Inc., and Donlin, Recano & Company, Inc. Learn more at: www.equiniti.com/us

EQ’s vision is to be the leading global share registrar, offering complementary services to its client base and our values set the core foundations to our success. We are TRUSTED to deliver on our commitments, COMMERCIAL in building long term value, COLLABORATIVE in our approach and we IMPROVE by continually enhancing our skills and services. There has never been a better time to join EQ.

***This is a temp-to-perm role estimated to last 6-12 months with a hybrid work schedule based in any of our 4 offices - Mendota Heights, MN, NY, NY, Milwaukee, WI, or Ridgefield Park, NJ

Role Summary

This role sits within the US Shareholder Services division, Transfer Agency Operations, Monitoring & Reporting team. The Operations Risk Specialist is responsible for monitoring shareholder transactions to ensure timely completeness, analyzing shareholder data to ensure accuracy, and in analyzing and compiling regulatory reporting. 

The Operations Risk Specialist position will support the Monitoring & Reporting functions and will handle the day-to-day activities involving the monitoring of shareowner accounts, and is responsible for making important decisions, escalating to management when appropriate. This role is responsible for supporting the complex analysis of data within tight deadlines and compiling and reviewing data for regulatory reporting. The Operations Risk Specialist position is required to gain a thorough understanding of all requirements associated with the monitoring functions and any interrelated functions within the Transfer Agency Operations departments.

Business Function

• Functionally support for monitoring and analysis of shareholder data

• Functionally support for fraud monitoring and analysis

• Functionally support for information security monitoring and reporting

• Functionally support for regulatory reporting

Core Duties/Responsibilities

The successful candidate will be responsible for the following:

• Works independently to complete daily production and risk transaction monitoring activities

• Using statistical analysis, research and solve complex operational, systems related and/or customer issues with possible financial risk

• Compiles and analyses data to make strategic and tactical recommendations to business manager

• Research problems, troubleshooting transaction scenarios

• Performs and/or supports various regulatory reporting activity to meet requirements

• Produce summary reporting and certification monitoring for system user access

• Partner and conduct physical vault audits related to checks and stock certificates

• Partner with technology to define business requirements, perform user acceptance testing and implement complex changes for department tools and technology

• Support the implementation of the new fraud reporting tool / process and champion its use where possible. 

• Support ongoing development and learning of other team members. 

• Ensure documented procedures, guidance and policy are maintained, reviewed, and updated regularly.

Skills, Capabilities and Attributes

• The successful candidate will demonstrate the following experience, skills and behaviours:

• Experience in operations, analytics, reporting or combination of [Expected]

• Experience financial services industry, stock (equity) operations processing and/or systems [Expected]

• Knowledge of stock market/industry or stock accounting systems [Desired]

• Knowledge of fraud concepts [Desired]

• Advanced Microsoft Office skills [Expected]

• Ability to navigate multiple computer systems, applications, and utilize search tools to find information [Expected]

• Strong attention to detail and accuracy; compiling operational data [Expected]

• Ability to communicate with all levels of management whether verbal, written or personal interactions [Expected]

• Ability to learn new tasks with minimal supervision[Expected]

• Ability to plan and maintain tasks to keep to timescales[Expected]

• Self-organization [Expected]

• Self-motivation [Expected]

Other Job-Related Requirements

• Ability to work in the office to complete vault audits and witness check and certificate destruction [Expected]

• High school diploma or equivalent GED [Expected]

Compensation

• $23 - $27 Hourly

Equal Opportunity Statement

We are an equal opportunity employer and make employment decisions without regard to race, creed, religion, national origin, sex (including pregnancy, gender identity, and sexual orientation), parental status, marital status, national origin, age, disability, family medical history or genetic information, political affiliation, military service, status with regard to public assistance, or any other characteristic protected under federal, state, or applicable local law.