Senior Associate Transfer Operations (JR1005200)

  • Competitive
  • Edgewood, NY, USA
  • Permanent, Full time
  • Broadridge Financial Solutions
  • 18 Apr 19

Senior Associate Transfer Operations (JR1005200)

Broadridge, a global fintech leader with over $4 billion in revenue, provides communications, technology, data, and analytics. We help drive business transformation for our clients with solutions for enriching client engagement, navigating risk, optimizing efficiency, and generating revenue growth. Broadridge employs over 10,000 full-time associates globally with a significant presence in North America, Europe, and Asia. Please visit our website at to learn more.

Job Description
As a Senior Associate on our Stock Transfer team, you will be responsible for the daily processing of shareholder and DTC presentations related to various transfer agent activities. The Senior Associate will also handle specific and specialized responsibilities such as Service Level Agreement (SLA) reporting, client reporting, documenting procedures and working with compliance and legal counsel. You will also for ensure that all service delivery requirements are met on a daily basis, and lend assistance to other units within the Transfer Agent organization when required. Additionally, you will assist in system development initiatives when necessary as well assist with special projects as needed to gain efficiencies and reduce costs. Partner with other departments to resolve and daily issues that may arise. Assist with testing requirements resulting from system enhancement initiatives. Resolving all escalations related to shareholders, clients, and system issues as necessary - assessing the related conditions and following through to a resolution. Monitoring of Service Level Agreements on a daily basis to ensure agreements are maintained.

Job Responsibilities:

  • Review and approval 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

  • Bachelor's degree or equivalent experience preferred;
  • 3+ years of Prior Transfer Agent experience or financial industry experience preferred

  • Have strong follow up skills;
  • Be detail oriented and able to recognize errors in own work as well as the work of others;
  • Be able to multitask and prioritize critical items before all other daily tasks;
  • Be able to demonstrate high levels of initiative and motivation while also championing teamwork to manage to SLAs;
  • Possess exceptional writing skills, with experience in drafting sympathetic responses;
  • Be able to think critically and interpret requests received from co-workers, clients, and shareholders;
  • Have typing skills and experience with Microsoft Word, Excel, Outlook, and Internet Explorer;
  • Possess the ability to monitor daily activities and proactively intervene when necessary to ensure accurate and timely responses; and
  • Have time management and data entry skills.

  • This position is primarily based in Edgewood, NY; occasional travel between locations is necessary on occasion. The associate must be flexible to travel to different Broadridge locations if needed as well as at the request of a client.