Corporate Actions Supervisor

Columbia Bank • Denver, CO

1d • $60,000 - $90,000 • Onsite

About The Position

About the Role: The Corporate Actions Supervisor is responsible for managing all aspects of the firm’s corporate actions processing. Responsible for all tasks and responsibilities associated with mandatory and voluntary corporate actions, including dividends, mergers and acquisitions, spin-offs, and stock splits, and for maintaining efficient operations, quality of service, and compliance standards across multiple security types (both public and private). Oversee daily operations of investment related transactions including transactions related to both marketable and non-marketable securities. Additionally, the Corporate Actions Supervisor is responsible for overseeing all tasks related to voluntary and mandatory corporate actions processes for both market traded and private securities. In partnership with the team manager, responsible for the day to day leadership of the team, including mentoring and coaching in a challenging and ever-changing work environment. Ensure all team related goals related to operational excellence and client service are met or exceeded. Work collaboratively with multiple internal and external partners and proactively pursue alternative ways to expand the business. Acts in a supervisory capacity to other department staff. Handles work of complex nature. Review team processing activities and approve cash and securities transactions in the trust accounting system related to corporate actions and market traded securities. Ensure all transactions are processed accurately and according to the relevant documentation. Ensure all documentation related to the transaction is appropriately archived and noted in Salesforce. Transactions may be complex in nature. Oversee and monitor daily trading and corporate actions activity to ensure all deadlines are met and all processing is completed in an accurate manner. Oversight activities include quality assurance review of cash and securities transactions, workflow review to ensure adequate and timely client contact, and team e-mail review to ensure proper handling of client escalations. Provide mentoring, coaching and training to support and develop leaders and staff. Responsible for supervisory duties including performance evaluation, coaching, handling grievances, scheduling, approving timesheets, etc. Assist in training and development of junior staff members. Train new hires. Train existing employees on complex activities. Assist Manager in executing on team projects and initiatives. Other duties as assigned.

Requirements

• Bachelor's degree in related field required or equivalent related work experience required.
• Minimum 5 years of experience in a securities trading or securities processing environment required.
• Minimum 2 years of direct leadership experience including leading a team of employees in a financial services environment required.
• Comprehensive knowledge of best practices related to client service, and prior experience coaching employees to those standards required.
• Comprehensive knowledge of financial services industry products and compliance requirements required.
• Must be highly organized with the ability to handle multiple tasks at one time.
• Excellent organizational, time management, problem prevention and problem-solving skills.
• Excellent communication skills with the ability to convey detailed information and instructions clearly, write reports, correspondence and procedures.
• Ability to thrive in a team-oriented environment.
• Must be flexible and willing to work in a fast-paced dynamic environment.

Nice To Haves

• Experience in Marketable Securities or Alternative Investments preferred.
• Certified IRA Services Professional (CISP) and/or Retirement Industry Trust Association (RITA) certified Self Directed IRA industry Professional (SDIP) preferred.

Responsibilities

• Managing all aspects of the firm’s corporate actions processing.
• Responsible for all tasks and responsibilities associated with mandatory and voluntary corporate actions, including dividends, mergers and acquisitions, spin-offs, and stock splits, and for maintaining efficient operations, quality of service, and compliance standards across multiple security types (both public and private).
• Oversee daily operations of investment related transactions including transactions related to both marketable and non-marketable securities.
• Overseeing all tasks related to voluntary and mandatory corporate actions processes for both market traded and private securities.
• Responsible for the day to day leadership of the team, including mentoring and coaching in a challenging and ever-changing work environment.
• Ensure all team related goals related to operational excellence and client service are met or exceeded.
• Work collaboratively with multiple internal and external partners and proactively pursue alternative ways to expand the business.
• Acts in a supervisory capacity to other department staff.
• Handles work of complex nature.
• Review team processing activities and approve cash and securities transactions in the trust accounting system related to corporate actions and market traded securities.
• Ensure all transactions are processed accurately and according to the relevant documentation.
• Ensure all documentation related to the transaction is appropriately archived and noted in Salesforce.
• Oversee and monitor daily trading and corporate actions activity to ensure all deadlines are met and all processing is completed in an accurate manner.
• Oversight activities include quality assurance review of cash and securities transactions, workflow review to ensure adequate and timely client contact, and team e-mail review to ensure proper handling of client escalations.
• Provide mentoring, coaching and training to support and develop leaders and staff.
• Responsible for supervisory duties including performance evaluation, coaching, handling grievances, scheduling, approving timesheets, etc.
• Assist in training and development of junior staff members.
• Train new hires.
• Train existing employees on complex activities.
• Assist Manager in executing on team projects and initiatives.
• Other duties as assigned.

Benefits

• We offer eligible associates comprehensive healthcare coverage (medical, dental, and vision plans), a 401(k)-retirement savings plan with employer match for qualifying associate contributions, an employee assistance program, life insurance, disability insurance, tuition assistance, mental health resources, identity theft protection, legal support, auto and home insurance, pet insurance, access to an online discount marketplace, and paid vacation, sick days, volunteer days, and holidays.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level