Operations Support- Brokerage CMCP Operations Physical and Transfer Analyst

The Physical and Transfer group is responsible for the processing, handling and oversight of all Physical certificates / Safekeeping transactions (deposit / withdrawals) at the firm. Which includes but not limited to Restricted Securities, Reorg, International physical settlement, ACAT Physical Settlement and DRS / DWAC Transactions.

The group operates in support of Brokerage Wealth Management and Private Wealth Management organizations and coordinates with the following operations groups: Domestic Settlements, Buy-ins, International Settlements, Corporate Actions, Balance and Control, ACAT Transfers, Tax Operations, Gain & Loss and Purchase and Sales.
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_DUTIES and RESPONSIBILITIES:

Related to Physical S/K Securities, DRS and DWACs
In support of the Brokerage Branches and their underline clients:

- Provide Customer Service Support (Telephones, Emails and Cases)
- Administer control and oversight Physical Deposits and Withdrawals processed MS Branches.
- Research Physical deposit certificates for negotiability by corresponding with the Transfer Agents and Custodian.
- Reviews all physical certificate deposit exceptions and work with the MS Branch on obtaining supporting documentation. I.e. Stock Power, etc.
- Action any trade or transfer fails relating to Physical or Safekeeping securities.

- Process all Physical related transactions relating to: Reorg, voluntary, mandatory, mergers, exchanges.
- Action all International settlements, deposits and withdrawals of Physical Certificates
- Coordinate with the Executive Financial Services on the removal of restricted securities.
- Assist Branches with DRS / DWAC inquires and processing exceptions.

EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:
_ Education and/or Experience: _
- College Degree or 5+ years of Industry Knowledge

Knowledge/Skills:
- Financial industry and Physical Certificate product knowledge
- Knowledge on working with a third-party Custodian and Transfer Agents
- Knowledge of applicable compliance rules and regulations (15c3-3, 17a-13)
- Proficient of Physical Certificate negotiability and required documents
- Ability to interact and communicate effectively with colleagues and clients
- Excellent written and verbal communication skills

Job Type: Contract

Pay: $20.00 per hour

Schedule:

• Day shift

Education:

• Bachelor's (Required)

Experience:

• Financial industry: 1 year (Required)
• Physical Certificate product: 1 year (Required)

Work Location: Hybrid remote in New York, NY 10036

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