Operations

• Work with and provide assistance to internal and external customers on a daily basis with incoming and outgoing Account Transfer Requests
• Assist with rebuilding and formalizing procedures for the transfer process to ensure business continuity
• Assist the Director in processing ACAT transfers in/out activity and prepares for the transition to self-clearing in DTCC
• Handle communications with Contra firms and Transfer Agents
• Process Mass Account Transfers/Conversions (internal and external)
• Serve as the Firm's Subject Matter Expert on Transfers do's and don'ts
• Research and respond to inquiry tickets regarding Account Transfers
• Ensure ACAT requests are processed within the firm's timelines and in accordance with industry guidelines
• Familiarity with ACAT systems (NSCC), regulations and industry practices that govern both ACATs and non-ACAT transfers
• Identify documentation/processing irregularities and outline corrective measures
• Assist with documenting procedures and updating processes as needed
• Process ACAT free deliveries and fail reversals (FRVs)
• Work cross-functionally with other staff to create highly efficient operational processes that avoid control and quality deficiencies and associated monetary losses
• Drive continuous operational improvement, update the control framework and undertake root cause analysis and trend analysis of operational issues
• Support business unit management in applying policy frameworks and serve as a referral point for policy-related queries
• Assist in the automation of daily self-clearing processes, collaborating with engineering
• Prepare summary documentation/work papers for special projects/observations, submitting to management for review
• Participate in projects as needed
• Perform other duties and responsibilities as assigned

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