Senior Operations Specialist

Position Summary

TCW is seeking a highly skilled and detail-oriented Senior Operations Specialist to join the Investment Operations team. In this role, the individual will be responsible for managing all aspects of proxy voting and class action operations including ensuring accuracy and on-time processing of all proxy votes and class action claims. In addition, this position will collaborate closely with various internal teams, external vendors and custodian banks to ensure all proxy and class action claims are executed accurately and in line with our policies and procedures.

Essential Duties

• Input and process all proxy voting ballots as per TCW’s proxy voting procedures ensuring accuracy and on-time processing.
• Validate and regularly audit proxy voting account setups within internal systems and with custodian banks and third-party vendors.
• Create, organize, and retain all electronic proxy voting-related records in accordance with the SEC’s recordkeeping requirements.
• Facilitate internal communications around proxy voting proposals and deadlines and receive voting guidance from portfolio managers, investment analysts, and the sustainable investment teams.
• Update and maintain comprehensive standard operating procedures while leveraging technology to develop workflow enhancements aimed at increasing efficiency and reducing errors.
• Prepare and respond to ad hoc and recurring reporting requests from clients and internal stakeholders.
• Monitor and track all class action notifications and claims affecting the firm’s investment portfolios. Collaborate with internal and external teams to ensure timely filing of claims and supporting documentation in compliance with deadlines.
• Implement vendor oversight by reviewing SLAs and KPIs, in addition to assessing the overall quality of service offered by the service provider.

Required Qualifications

• Bachelor’s Degree from an accredited college or university.
• Minimum of 5 years of Investment Operations or Middle Office/Back Office related experience.
• Strong project management background aimed at automation and the development of process improvements.
• Strong understanding of investment management and corporate governance principles, and proxy voting processes.
• Exceptional organizational skills with the ability to manage multiple deadlines and priorities.
• Familiarity with proxy voting platforms (ISS ProxyExchange, Glass Lewis Viewpoint) and custodial systems is a plus.
• Knowledge of ESG-related proxy voting practices is a plus

Professional Skills Qualifications

• Proficient in Excel, PowerPoint, Word and adaptability to new systems.
• Committed to continuous improvement through automation, with the ability to analyze current processes and implement innovative solutions to streamline operations.
• Excellent problem-solving, written, and verbal communication skills with demonstrated ability to successfully complete multiple tasks.
• Strong interpersonal skills - Highly collaborative with the ability to influence outcomes with internal and external business partners of all levels.
• Excellent organizational skills, time management and attention to detail.

Desired Qualifications

Estimated Compensation:

Base Salary:  For CA based position, the base salary range is $100k to $120k.  This is an anticipated range only.

Other Compensation:  Eligible to be considered for an annual discretionary bonus

Benefits:  Eligible for TCW’s comprehensive benefits package. See more information.

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Salary : $100,000 - $120,000