Operations Lead ( Transfer Agency) in भारत

This position is listed on behalf of a partner company, which manages all applications and next steps. Our partner is looking for an Operations Lead (Transfer Agency) based in India. In this leadership role, you will build and scale an India-based operations team responsible for supporting a U. S. stock transfer agency. You will establish operational processes from the ground up, recruit and develop talent, and ensure seamless service delivery across Indian and U. S. time zones. Combining strategic leadership with hands-on execution, you will oversee shareholder services, securities transfers, compliance reporting, and corporate actions. You will be responsible for maintaining the accuracy, security, and integrity of shareholder records while implementing robust controls and service standards. Working closely with U. S. leadership, compliance specialists, and engineering teams, you will identify opportunities to automate workflows and improve operational efficiency. This fully remote opportunity offers a unique chance to shape a growing operation, introduce modern tools, and build a high-performing team in a specialized financial services environment. Accountabilities - Build and lead the operations team: Recruit, onboard, train, and manage the India-based operations team, define responsibilities, establish performance expectations, and design coverage across Indian Standard Time (IST) and U.

S. Eastern Time (ET). - Manage operational quality and controls: Own end-to-end service delivery, establish and monitor service-level agreements (SLAs), implement maker-checker controls, track errors, manage escalations, and ensure consistent operational accuracy. - Develop procedures and documentation: Create, maintain, and improve the standard operating procedures (SOPs) library, close documentation gaps, and establish clear workflows for recurring and exception-based activities. - Oversee daily securities processing: Manage pending-transfer reviews, Depository Trust Company (DTC) operations, DWAC and DRS processing, and FAST/SCL balancing to maintain accurate and timely transaction processing. - Manage issuances and treasury orders: Review and process securities issuances and treasury-related orders in accordance with established verification procedures and maker-checker controls. - Supervise shareholder transfers: Review and process routine transfers, estate-related transactions, broker transfers, and certificate-to-DRS conversions, ensuring appropriate documentation and medallion signature guarantee verification. - Oversee compliance and risk screening: Manage Know Your Customer (KYC) and Know Your Business (KYB) reviews, sanctions screening through the Office of Foreign Assets Control (OFAC), and adverse-media checks, escalating potential matches or compliance concerns immediately. - Manage shareholder and issuer services: Oversee account inquiries, lost-holder cases, replacement certificates, and other shareholder support requests while ensuring accurate records and timely resolution. - Own regulatory and compliance reporting: Manage recurring Securities and Exchange Commission (SEC) reporting obligations, including applicable Rules 17Ad-2, 17Ad-6, and 17Ad-17, DTCC Customer-By-Customer Recordkeeping System (CBRS) reporting, and escheatment-related processes. - Lead corporate actions and annual meeting activities: Coordinate proxy season, paying agency operations, corporate actions, and related shareholder communications and execution requirements. - Manage new-issuer onboarding: Oversee issuer appointment documentation, DTC agent-change notifications, and the ingestion, validation, and reconciliation of legacy shareholder records. - Drive automation and continuous improvement: Collaborate with U. S. operations, compliance, and engineering teams to streamline workflows, improve controls, introduce automation, and enhance operational scalability.