Industry/Trade Analysis, Maintain Compliance, Process Improvement, Quality Assurance Methodology, Regulations, Regulatory Compliance, Securities, Securities and Exchange Commission (SEC), Testing
Summary:
- Work Mode: In Office
- Hours: 9:00am to 6:00pm
Responsibilities:
- Perform transfers and replacements of physical securities.
- Review submitted documents for transfer requests to ensure completeness and proper execution.
- Respond to customer inquiries via email or phone promptly.
- Ensure compliance with all regulatory obligations, including SEC regulations.
- Handle time-critical, complex, and often regulated tasks involving internal and external parties.
- Review internal recordkeeping systems for security principal payments, exchanges, transfers, reregistrations, and replacements.
- Manage ad-hoc projects such as user access testing, production verification testing, and process improvement evaluation and implementation.
A
Axelon Services Corporation