Jyothi S

Transfer Agent (Shareholder Services)
Equiniti Shareowner Services (India) Pvt. Ltd
Bangalore, Karnataka

• Being working with Shareowner Service team
my primary Responsibilities are – To ensure that all
requests for Subscriptions, Redemption, Exchanges
and Transfers requested by shareholders are
accurately and in a timely manner.
Maintenance, Registration & Payments.

 Organizing the shareowner request for Transfer
of ownership of holding securities, Sales,
Debit ACH depositing shares into account,
responsible for Client and Distribution Services
which executes Dividend Disbursement,
Corporate Action events, Investment Plan
Services, Employee Stock Purchase Plans,
Dividend Reinvestment and Direct
Purchase Plans, certificate or share
transfers, and replacement of lost
certificate.
 Support the Transfer Agency Dealing Manager and
assist on ad-hoc processing when required. The
Department is responsible for Clients or
Shareholders Document Management Processing
and Quality Checking of transactions and updating
the registers of clients in response to Investor
instructions.
 Identifying Redemption/plan closure deals,
which are due to be settled for the day, and
preparing the reports for Payment

processing. Analyzing and reviewing various
transaction documents provided by Shareowner
for accuracy tracing and investigating transaction.
 One of Major work is transferring ownership of
stock from one shareowner to another shareowner
by analyzing& Verifying various documents like
Medallion guarantee, corporate resolution,
certificate of fiduciary, Tax waiver, Letter of
Testamentary.
 Data Maintenance - Changing the primary
address of the Shareowner based on their request.
 Lost Securities – Replace the Certificates shares
into Book, Cert or Plan if request comes form
shareowner after losing certificates.
 Plan and prioritize work to ensure that ensuring
that SLA's are been met and/or exceeded but
also to ensure that regulatory requirements
are effectively met.
 Working together with offshore team in US shift to
ensure the request processed in timely manner.

Key Achievements
 Achieving 99% and above quality across all the
processes throughout the year.
 Initiated an innovation idea to increase
productivity within the team (Reduced approx
12 hours of work load daily basis as a team)
 Recipient of 8 times monthly icon awards.

 Responsible for Quality Checker for entire team

Duties & Responsibilities

 Generated monthly metric reports, interpreted results and developed processes and solutions.

 Provided strategic and operational recommendations for improvement across departments.

 Supervised meetings to maintain interdisciplinary communication of process weaknesses and performance.

 Leveraged automation tools and techniques to manage data, optimize workflow and increase efficiency.

 Developed remediation plans for team to provide compliance attestation and reported common control procedures and effectiveness.

 Determined change management needs and defined behaviors for effective program management.