Investment Banking, Capital Markets Operations, Securities Transfer & Settlement (Associate/Vice President)
$170,000–$230,000 year
On-siteSan Francisco, California, United States
Job Summary
Own end-to-end management of DWAC and DRS transfers for Capital Markets transactions, ensuring timely settlement across issuers, transfer agents, and clearing firms. Serve as the primary contact for transfer agents, manage service expectations, and coordinate documentation including Medallion Signature Guarantees, opinion letters, and restricted stock paperwork. Liaise directly with issuer and fund counsel to track legal deliverables and drive resolution of NIGO items. Manage the flow of funds process for Capital Markets transactions, administer wire transfer LOAs for VC and PE clients, and process clearing firm journal requests. Maintain audit-ready records, identify operational risks, and propose process improvements to enhance throughput and reduce settlement risk.
Required Qualifications
- Bachelor's degree or equivalent relevant experience
- Experience in securities operations with direct exposure to settlement and/or securities transfers
- Strong understanding of DWAC/DRS concepts and the practical processing requirements across transfer agents and clearing firms
- Demonstrated ability to manage complex documentation requirements with excellent attention to detail
- Strong written and verbal communication skills
- High ownership, sound judgment, and a strong operational risk and controls mindset
- Must be authorized to work full time in the U.S.
Desired Qualifications
- Prior experience managing restricted stock settlements and documentation
- Familiarity with Rule 144 processing support and broker representation documentation workflows
- Experience supporting Capital Markets transaction settlement and cash movement coordination (flow of funds)
- Proficiency with Excel and comfort working across internal workflow tools and clearing firm platforms
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