Investment Banking, Capital Markets Operations, Securities Transfer & Settlement (Associate/Vice President)
Core
End-to-end management of securities transfer workflows (DWAC/DRS) and transaction settlement for Capital Markets trading, including restricted stock processing and flow of funds coordination.
Role type
Capital Markets Operations Associate / Vice President (Securities Transfer & Settlement)
Builds
Timely and accurate settlement of securities transactions across issuers, transfer agents, clearing firms, and clients.
Domain
Investment Banking / Capital Markets / Securities Operations
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
DWAC/DRS transfer processing, restricted securities documentation, transfer agent relationship management, counsel coordination, wire transfer authorization (LOA), clearing firm journal processing, Rule 144 filings, operational risk controls, process improvement
Preferred skills
Restricted stock settlement management, Rule 144 processing, Capital Markets flow of funds coordination, advanced Excel proficiency
Technologies
DWAC, DRS, clearing firm platforms, workflow tools
Responsibilities
Own operational processing and oversight of DWAC and DRS transfers for all Capital Markets transactions; manage transfer timelines and resolve breaks to protect settlement dates; serve as primary point of contact for transfer agents; coordinate with issuer and fund counsel to ensure legal deliverables meet settlement timelines; manage flow of funds processes and wire transfer LOA workflows for VC/PE clients; process and track clearing firm journal requests; prepare Rule 144 filings and Broker Representation Letters; identify operational risks and implement preventive controls; mentor junior team members (VP-level)
Seniority
Associate / Vice President