Securities Transfer Operations Supervisor

2 weeks ago

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

About the Role

The Supervisor, Securities Transfer Operations is responsible for overseeing the day-to-day operational functions, providing guidance and support while communicating company goals and deadlines to the team with strict adherence to policies and procedures as well as liaising between Securities Transfer and other internal or external parties.

Key Responsibilities:

  • Supervise, train, lead, mentor and develop team members
  • Oversight of branch specific functions and dependencies such as mail and courier lodge, log and track
  • Operate two distinct record keeping systems which support the transactions of our shareholder clients
  • Process transfers on both systems to register changes in ownership, while maintaining segregation of duties
  • Support and coordination for client financing and IPO closings
  • Monitor team performance, create and report on metrics
  • Delegate tasks, set team goals and deadlines
  • Oversight of department emails
  • Lead, monitor and liaise with other branches on workflow completion
  • Handle escalated matters from staff as well as internal and external parties
  • Review and update and build Desk Operating Procedures (DOP)
  • 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
  • Plan and execute Disaster Recovery and Business Continuity Plan protocols
  • Perform ongoing system testing as required
  • Assist with compiling data required for regulatory filings and obligations
  • Act as backup to other branch leads, in an operational capacity
  • Special Projects as required from Senior Management

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