Operations Risk Advisor

Management Level

H

Equiniti is a leading international provider of shareholder, pension, remediation, and credit technology. With over 6000 employees, it supports 37 million people in 120 countries.

EQ US is a leading provider of ownership data management, analytics and advisory services to public and private companies as well as corporate issuers and mutual funds. EQ offers a comprehensive product set, including transfer agency services, cap table management, equity compensation services, proxy solicitation and advisory services, private company solutions and bankruptcy claims administration services. Affiliates include, D.F. King and Co., Inc., Astrella Private Company Solutions, Inc., and Donlin, Recano & Company, Inc. Learn more at: www.equiniti.com/us

EQ’s vision is to be the leading global share registrar, offering complementary services to its client base and our values set the core foundations to our success. We are TRUSTED to deliver on our commitments, COMMERCIAL in building long term value, COLLABORATIVE in our approach and we IMPROVE by continually enhancing our skills and services. There has never been a better time to join EQ.

***This is a temp-to-perm role estimated to last 6-12 months with a hybrid work schedule based in any of our 4 offices - Mendota Heights, MN, NY, NY, Milwaukee, WI, or Ridgefield Park, NJ

Role Summary

This role sits within the US Shareholder Services division, Transfer Agency Operations, Monitoring & Reporting team. The Operations Risk Advisor is responsible for analyzing transactions to identify, research, mitigate and document fraud across the Transfer Agency Operations area. Ensure management of fraud resolution to completion, recordkeeping, and escalation in accordance with policy. 

Business Function

• Functional responsibility for fraud monitoring, analysis, mitigation, and reporting for Identity Verification.

Core Duties/Responsibilities

The successful candidate will be responsible for the following:

• Analyze transactions relating to Identity Verification, ensuring fraud cases are recorded and escalated in line with policy and managed through to conclusion. 

• Ensure fraud cases are escalated internally appropriately. 

• Undertake any relevant internal and external reporting requirements.

• Work independently within policy and procedure with minimal guidance and seek clarity and support where appropriate.

• Liaise with other internal functions as appropriate.

• Maintain a level of technical and business knowledge to manage cases through to conclusion.

• Ensure documented procedures, guidance and policy are maintained, reviewed, and updated regularly.

Skills, Capabilities and Attributes

The successful candidate will demonstrate the following experience, skills and behaviours:

• Experience in compliance, operational risk activities (includes audit, legal, market risk), or a process or business with accountability for compliance or operational risk, or a combination of both

• Experience financial services industry, stock (equity) operations processing and/or systems

• Knowledge of stock accounting systems

• Knowledge of fraud concepts

• Advanced Microsoft Office skills

• Strong analytical skills with high attention to detail and accuracy [Expected]

• Ability to write reports to the end user need

• Ability to communicate with all levels of management whether verbal, written or personal interactions

• Ability to learn new tasks with minimal supervision

• Ability to plan and maintain tasks to keep to timescales

• Self-organization

• Self-motivation

Other Job-Related Requirements

• High school diploma or equivalent [GED]

Compensation

• $28.00-30.00 per hour

Equal Opportunity Statement

We are an equal opportunity employer and make employment decisions without regard to race, creed, religion, national origin, sex (including pregnancy, gender identity, and sexual orientation), parental status, marital status, national origin, age, disability, family medical history or genetic information, political affiliation, military service, status with regard to public assistance, or any other characteristic protected under federal, state, or applicable local law.