Securities Operations Associate

. Corporate Actions Processing

• Event Monitoring: Monitor announcements for mandatory and voluntary corporate actions (e.g., cash dividends, stock splits, mergers, spin-offs, and rights offerings).

• Instruction Management: For voluntary actions, collect internal directions from Portfolio Managers and submit instructions to custodians before market deadlines.

• System Reconciliation: Ensure that corporate action data is accurately reflected in the accounting system (e.g., Geneva, Investran, or Bloomberg) and reconcile against custodian statements.

• Tax Implications: Assist in identifying the tax impact of specific actions, such as "Return of Capital" versus "Qualified Dividends."

3. Cash Management & Reconciliation

• Bank Recs: Perform daily cash reconciliations between bank accounts and the internal ledger to ensure all AP and Corporate Action movements are accounted for.

• Funding Analysis: Monitor cash balances to ensure sufficient liquidity for upcoming AP runs and capital calls.