Stock Transfer Division Manager
Basic Functions:
Responsible for the compliance, oversight, strategy, and direction of the stock transfer division of the trust department.
Essential Job Duties:
- Stay abreast of securities transfer regulations
- Ensure stock transfer division is operating in conformity with all rules and regulations
- Provide assistance and information as requested by Clients' Legal Department, Accounting, Benefits, Proxy Solicitor, Administrator of Dividend Reinvestment Plan, external clients, and service providers
- Coach all team members to provide exceptional customer service, provide necessary training & coaching feedback, and conduct annual performance reviews.
- Prepare bank reconciliations
- Prepares dividend & wire transfers
- Employee Stock Purchase Plan purchases
- Annual Escheatment process
- Prepare ACH files
- Prepare all tax forms and filings
- Maintain current knowledge of applicable laws, regulations and issues related to the Stock Transfer department operations.
- Assist the compliance officer in preparing for audits and regulatory examinations.
- Provide timely responses to examiners and auditors. Assist the compliance officer in developing and implementing plans for correcting deficiencies noted in examinations and audits.
- Conduct all duties in compliance with applicable laws, regulations, and Bank policies and procedures.
- Other duties as assigned
