The Associate is responsible for daily work that is primarily routine in nature and normally covers a specific sub-set of duties within a department. The expectations of the Associate are that he/she performs their duties with a high level of attention to detail and excellent customer service. Additionally, the Associate is expected to cross train within the various other areas of their team to assist and help back-up those areas when needed.

Primary Accountabilities/Responsibilities:

• Process daily cash payments and mandatory corporate actions in a timely manner
• Track and maintain elections for voluntary corporate actions
• Reconcile department suspense accounts, researching and resolving out of balance items
• Assist with questions or instructions related to client accounts
• Develop knowledge of processing physical stock certificates and bonds
• Process requests to move shares between transfer agents and our firm
• Handle certificate exchanges due to reorganizations as well as restriction removals
• File and organize on-site safekeeping vault
• Maintain an understanding of department expectations and company policies
• Share responsibility for departmental phone and e-mail coverage
• Keep management informed on any unusual requests and potential issues
• Maintain prompt and regular attendance
• This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary

Job Requirements:

• Bachelor’s degree in business, finance or related field or equivalent work experience
• Some prior work experience in banking or securities related field preferred
• SIE and Series 99, or equivalent (or ability to obtain within 6 months of employment)
• Strong critical thinking and analytical skills with high attention to detail
• Excellent organizational and time management skills with the ability to multi-task
• Effective communication skills – oral and written, with an emphasis on customer service
• Proficiency in Microsoft Office applications including, but not limited to Outlook, Excel, Word and PowerPoint
• Ability to take direction, work independently and within a team environment
• Adaptable to change in a highly regulated industry
• Must be authorized to work in the US for any employer