Securities Operations Associate

Securities Operations Associate

In this role, you will:

• Participate in low complexity lifecycle support tasks and help identify opportunities for process improvements within Securities Operations

• Review basic or tactical issues, policies or procedures for which answers can be quickly obtained, related to low risk tasks and deliverables with narrower impact

• Receive direction from manager and exercise judgment within defined parameters related to resolving situations on a full process within a trade environment, while developing understanding of various functions, policies, and procedures

• Provide information to, collaborate, and consult with peers, colleagues and managers, including internal and external customers, to resolve issues and achieve goals

• Build expertise in operational processes including client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation

• Assist in gathering data to support resolution of issues; review and analyze functional operational tasks that require research and evaluation

• Resolve low complexity escalated issues within the scope of responsibility in Security Operations

• Research low complexity business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests

• Support overall effectiveness of the team according to plans; monitor daily securities and cash related production work

• Contribute to implementation of projects, new or revised processes, and procedures that require coordination among operation teams and may perform analysis for initiatives that support business strategies

Required Qualifications:

• Minimum 4+ years of experience in Asset Servicing, with proven hands‑on exposure to complex corporate action processes and strong communication skills.

• Deep understanding of corporate action and income event lifecycles, including key risk points, and the ability to manage escalations and resolve issues effectively.

• Proficient in navigating and operating DTC corporate actions and settlement platforms.

• Extensive experience in ADR processing, including ADR tax elections, corporate action events, and income processing; familiarity with systems such as DTC, Globetax, and other related corporate action/income applications.

• Strong ability to interpret complex event terms, identify discrepancies in event setup, election processing, or payment allocation, and take corrective action.

• In‑depth understanding of ADR issuance, cancellation, conversions, and the relationship between ADRs and underlying ordinary shares.

• Familiarity with Depositary Bank operations (BNY Mellon, JPMorgan, Citi, Deutsche Bank) and their event announcement processes.

• Knowledge of ADR fee structures, DR facility terms, and how fees impact investor entitlement calculations.

• Demonstrated ability to guide and support peers, including handling exceptions and providing process‑related mentorship.

• Working knowledge of automation tools such as Alteryx and Xceptor to build or execute workflow automation (added advantage).