Principle Process Executive

Management LevelH

Business Division

5300 Equiniti Trust Company, LLC

Business Function/Department

US Shareholder Services

Job Title

Resolution Specialist –Principle Process Executive

Reporting to (Job Title)

Operations Manager

Date

March 2024

Role Summary

This role sits within the US Shareholder Services division, Transfer Agency Operations, Customer Care Center, Quality Assurance Team. The Resolution Specialist is responsible for analyzing escalated complaints across Transfer Agency Operations to provide resolution, response, and documentation. Ensure management of complaints resolution to completion, recordkeeping, and escalation in accordance with the procedure. The Resolution Specialist is also responsible to communicate shareholder complaint outcomes with regulatory agencies and executive leadership.

The Resolution Specialist role coordinates with all levels of the business to bring solutions to sensitive shareholder matters and identifies opportunities for continuous improvement.

Core Duties/Responsibilities

The successful candidate will be responsible for the following:

Produce custom written complaint responses tailored to mitigate financial and reputational risk

Manage multiple complex, unique, time sensitive complaints concurrently

Provide timely complaint status and outcomes to stakeholders, including executive leadership and regulatory agencies

Coordinate meetings with legal team to review or consult on sensitive matters

Request action and resolution updates from department leaders

Maintain detailed records of complaints, resolutions, and root causes

Prepare responses to regulatory agencies

Perform extensive research to resolve problems, inquiries, and complaints

Collaborate with various business partners to drive process development and identify opportunities for improvement

Document research, communication, and resolution to ensure key data is accurately captured

Follow through with all inquiries to ensure resolution

Consistently adhere to quality standards, productivity standards, and risk/compliance standards

Analyze complaint data and create/disseminate reporting

Skills, Capabilities and Attributes

The successful candidate will demonstrate the following experience, skills, and behaviors:

Knowledge of legacy EQ and AST systems including CSW, Cares, Sirius

Ability to simplify complex situations and problem solve

Strong verbal and written communication skills – with both external and internal stakeholders

High comprehension of risk and compliance requirements, risk mitigation measures, and regulatory compliance standards

Transfer agent operations experience

Ability to work independently with minimal guidance and seek clarity and support where appropriate

Exceptional customer service and professionalism

Ability to navigate multiple computer systems, applications, and utilize search tools to find information

Microsoft Office skills – pivot tables, charts, etc.

Strong analytical skills with high attention to detail and accuracy

Ability to write reports to the end user need

Ability to learn new tasks with minimal supervision

Ability to prioritize and meet stringent deadlines

Self-organization

We are committed to equality of opportunity for all staff and applications from individuals are encouraged regardless of age, disability, sex, gender reassignment, sexual orientation, pregnancy and maternity, race, religion or belief and marriage and civil partnerships. Please note any offer of employment is subject to satisfactory pre-employment screening checks.

R12600