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Securities Transfer Operations Supervisor

2 months ago

Vancouver, British Columbia, Canada TMX Investor Solutions Inc. Full time
Job Summary

TMX Investor Solutions Inc. is seeking a highly skilled and experienced Supervisor, Securities Transfer Operations to join our team. As a key member of our operations team, you will be responsible for overseeing the day-to-day functions of our securities transfer operations, providing guidance and support to team members, and ensuring the smooth execution of our business processes.

Key Responsibilities
  • Supervise and train team members to ensure they have the necessary skills and knowledge to perform their duties effectively.
  • Oversee the operation of two distinct record-keeping systems, ensuring accurate and timely processing of transactions.
  • Process transfers on both systems to register changes in ownership, maintaining segregation of duties.
  • Support and coordinate client financing and IPO closings, ensuring timely and accurate execution.
  • Monitor team performance, create and report on metrics to ensure continuous improvement.
  • Delegate tasks, set team goals and deadlines, and provide guidance and support to team members.
  • Oversight of department emails, ensuring timely and accurate response to client inquiries.
  • Lead, monitor, and liaise with other branches on workflow completion, ensuring seamless execution of business processes.
  • Handle escalated matters from staff, as well as internal and external parties, ensuring prompt and effective resolution.
  • Review and update Desk Operating Procedures (DOP), ensuring compliance with policies and procedures.
  • Perform spot checks on work performed by the team, validating strict adherence to Policies and Procedures (P&P).
  • Monthly reporting on processing volume metrics for operations, ensuring accurate and timely reporting.
  • Plan and execute Disaster Recovery and Business Continuity Plan protocols, ensuring business continuity.
  • Perform ongoing system testing as required, ensuring system integrity and accuracy.
  • Assist with compiling data required for regulatory filings and obligations, ensuring compliance with regulatory requirements.
  • Act as backup to other branch leads, in an operational capacity, ensuring seamless execution of business processes.
  • Special Projects as required from Senior Management, ensuring timely and effective execution.
Requirements
  • Minimum 7 years' experience in the financial or securities industry.
  • Minimum 3 years' experience in a previous leadership role.
  • Strong experience in the securities industry as it relates to back-office administration.
  • Strong interpersonal and communication skills, effectively communicating with peers, senior management, internal and external stakeholders.
  • Ability to optimally coordinate and manage multiple initiatives simultaneously.
  • Experience overseeing training plans for staff within the department.
  • Experience analyzing staffing needs, employee development, and goal setting.
  • Excellent computer skills - MS Office Suite and Google suite of products and other desktop applications.
  • A willingness and ability to adapt to a changing environment and responsibilities.
  • Must have a flexible schedule to work overtime as required.
  • Completion of Canadian Securities Course and similar courses are preferred, but not essential.
  • Client Service Orientation: develops and maintains positive relationships with internal and external clients. Ability to understand clients' needs and develop the appropriate solutions.
  • Confidentiality: Show discretion and ability to handle confidential issues.
  • Decision & Problem Solving: Strong decision-making and problem-solving skills.
  • Independent worker: High level of self-motivation and at ease working independently when necessary.
  • Interpersonal skills: Pleasant, diplomatic manner and disposition in interacting with senior management, co-workers, and the general public.
  • Organization & Detail Oriented: Strong organizational skills and attention to detail.
  • Teamwork: Works well in a team environment, actively contributes to the success of the group.
  • Working under pressure: Poised, works well under pressure, and accomplishing short- and long-term deadlines with a heavy workload.
About TMX Investor Solutions Inc.

TMX Investor Solutions Inc. is a leading provider of financial services and solutions. We are committed to creating and sustaining a collegial work environment in which all individuals are treated with dignity and respect and one which reflects the diversity of the community in which we operate. We provide accommodations for applicants and employees who require it.