Corporate Actions Specialist
The Orlando Corporate Actions team is responsible for the set up and processing of mandatory and voluntary reorganizations, partial calls, full calls, redemptions, bankruptcies, and class actions for Brokerage Operations. Corporate Actions is dedicated to leading a culture that delivers accurate and timely processing that creates a premier client experience, while providing a controlled and disciplined environment allowing our employees to feel valued and engaged.
What you are good at
The Corporate Actions Specialist is responsible for timely and accurate processing of corporate actions on securities held by our clients. In this role you will be responsible for the beginning to end processing of Corporate Actions for daily processing. This includes gathering the necessary information to process accurately and to reconcile any discrepancies and resolve exceptions.
Specialist have the ability to obtain accurate, comprehensive and timely corporate action related information. (tender offers, elections, rights offerings, proxy, consents) Interpret announcement information on various corporate actions for deadline sensitive terms. Recognize potential risk issues associated with the stock record, balance and reconcile stock record to payment allocation from Custodians, Depositories and transfer agents. Discrepancies and exceptions are to be escalated and resolved promptly. Identify and communicate issues effectively and timely to peers and management team. Candidate must be team-oriented, self-motivated and goal driven, able to multi-task, realize the importance of follow through, and have outstanding time management skills as well as excellent communication skills, be able to work well under pressure in a fast paced, high-risk environment while maintaining a professional manner. Qualified candidates should possess strong analytical and resolution skills and have at least 3 years’ experience in Brokerage Operations.
What you have
- 3 or more years' experience in the Financial Services Industry
- Experience in controlled environment with supervisory procedures, regulatory requirements and audit requirements
- Willingness to accept ownership for the leadership and effectiveness of the organization
- The ability to look for ways to make a difference
- Outstanding time management skills and ability to work in a high risk environment
- Compassion to work cooperatively with others to produce innovative solutions
- Initiative to seek out and build relationships with others who can provide information, intelligence, career support, potential business as well as other forms of support
- The ability to accurately anticipate the implications of events or decisions for various stakeholders in the organization and plan strategy accordingly
- Insight to identify and propose solutions that benefit all parties involved in a situation
- Corporate Actions' experience preferred
- FINRA Series 7 licenses preferred
You demonstrate these behaviors:
- Fostering Team Work: Seeks opportunities to work on teams as a means to develop experience and knowledge.
- Providing Motivational Support: Takes the lead or supports setting new business directions, partnerships, policies or procedures,
- Fostering Innovation: Develops better, faster, or less expensive ways to do things.
- Forward thinking: Anticipates the implications and consequences of situations and takes appropriate action to be prepared for possible contingencies.
- Interpersonal Effectiveness: Notices, interprets, and anticipates others’ concerns and feelings, and communicates this awareness empathetically to others.
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