Operations Risk Advisor

Management Level

EQ is a leading international provider of shareholder, pension, remediation and credit technology. With over 5,000 employees, it supports 37 million people in 120 countries. EQ's purpose is to care for every customer and simplify every transaction, delivered with less of an impact on the environment. In December 2021 EQ formally moved into private ownership by affiliates of Siris Group Capital, LLC.

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. and Astrella Private Company Solutions, Inc. Learn more at: www.equiniti.com/us

***This is a temporary role estimated to last 9-12 months with a hybrid work schedule based in our Mendota Heights, MN office

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. Act as a lead for the Identity Verification process, ensuring timely and accurately completion. Ensure management of fraud resolution to completion, recordkeeping, and escalation in accordance with policy. The Operations Risk Advisor is also responsible to perform and support regulatory and information security reporting.

This Operations Risk Advisor role collaborates with functional leaders and team members to identify, assess, and mitigate incidents. The position works closely with enterprise Risk and Audit teams...

Core Duties/Responsibilities

The successful candidate will be responsible for the following:

• Analyze transactions relating to all areas of US activity to identify fraud, ensuring fraud cases are recorded and escalated in line with policy and managed through to conclusion.
• Ensure fraud cases are escalated internally appropriately.
• Analyze, complete and report SEC required statistics, including routine and non-routine transfer turnaround, aged out-of-balances and suspense, share buy-ins, and TA-2.
• Propose changes or improvements to systems/processes to mitigate risk where relevant.
• 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 and external companies and clients as appropriate.
• Maintain a level of technical and business knowledge to manage cases through to conclusion.
• Support the implementation of the new fraud reporting tool / process and champion its use where possible.
• Support ongoing development and learning of other team members.
• 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 behaviors:

• 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
• 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
• High school diploma or equivalent [GED]

Compensation

• $28.00-31.00 hourly

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.