Operations Associate - Security Processing

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.

Summary/Function: 

Examine stock certificates for eligibility for deposit or transfer requirements and process transfer instructions. Act as the contact for branches and other department for security processing.

Qualifications:

•Proficient computer skills in Windows-based software products: Outlook, Word, Excel, and OneNote

•Proactively work with both branches and transfer agents.

•Attention to detail and ability to multi-task.

•Must be able to work in pressured situations.

•Works under minimum supervision.

•Courteous phone manner

•Follow policies and procedures. Maintain client confidentiality.

•Communicate in a clear and service oriented manner. Use appropriate, professional language and grammar to effectively exchange ideas and information.

•Ability to proactively work with both external and internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives.

•Ability to maintain regular, predictable attendance.

Duties:

•Process journal entries to transfer book entry shares held with transfer agent via DRS and DWAC systems, or through issuance of certificate.

•Process securities transfers according to transfer instructions and requirements.

•Review, approve and process certificated restricted security requests submitted outside of the TRAX system. Ensure authorized individuals have signed all necessary legal documents for the request.

•Support FAs and their support teams to research and resolve issues and/or questions in a collaborative manner.

•Request appropriate documents from branch in order to process and clear safekeeping trades. Follow-up on all past due trades.

•Review and present certificates to transfer agents for reorganizations, registration, and redemption.

•Follow up to transfer agents on pending physical transfer items

•Re-register certificates for deposit to the vault or to be mailed to client via FA and their support teams.

•Perform any other duties as assigned.

What we offer

Competitive salary plus excellent benefits and perks including, but not limited to:  

•Medical, Dental and Vision

•Company 401(k)and ESOP contribution 

•Generous sick, vacation, and maternity/parental leave

•Paid holidays

•Professional Development Opportunities

•Tuition Reimbursement ($15,000 lifetime cap)

•Discounted personal insurance including home, auto and recreational vehicles

•Charitable gift-matching program

•Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.  

At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

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