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Vinyl Equity is building a U.S. stock transfer agency operations team based in India, operating on U.S. Eastern Time hours. You'll execute day-to-day transfer agency operations including transaction processing, KYC/KYB review, shareholder support, and SEC compliance reporting under the Operations Lead.
Key responsibilities include processing securities transfers, issuances, and DTC activity (DWAC, DRS, FAST) with maker-checker controls; resolving reconciliation and out-of-balance items same-day; reviewing KYC/KYB documentation and triaging false positives; escalating OFAC/sanctions matches; handling shareholder and issuer support via queue, email, and phone; supporting SEC compliance reporting (Rules 17Ad-2/17Ad-6/17Ad-17, DTCC CBRS, escheatment); supporting proxy season and corporate actions processing; assisting with new-issuer onboarding and legacy record ingestion; and flagging SOP gaps to leadership.
You'll need 3+ years in securities or transfer agency operations, background at an RTA, global transfer agent, asset manager, or bank securities-services center. Strong data skills with Excel/Sheets and unfamiliar file formats (CSV, fixed-width) are essential. You should be a confident user of Claude or equivalent AI assistant, with meticulous attention to detail, clear written English, and reliability against hard cutoffs. High integrity and discretion handling PII and material non-public information are critical.
Nice-to-haves include exposure to DTC/DTCC systems (FAST, DWAC, DRS Profile, CBRS) and SEC 17Ad-series rules, experience with record conversions/deconversions or legacy data migration, familiarity with Rule 144, medallion guarantees, escheatment, KYC/KYB, or AML, and experience supporting U.S. or cross-border clients from India against U.S.-hours SLAs.
Compensation is competitive based on experience, with equity participation, comprehensive health insurance, paid leave, and wellness benefits.
