Securities Processing Associate Ops

Janney•Philadelphia, PA

About The Position

The Securities Processing Associate provides professional-level support for all securities processing activities within Operations. This position works closely with internal Operations teams and field personnel to ensure timely and accurate handling of physical securities, transfer instructions, and position-related updates. Responsibilities include processing physical certificates, coordinating free deliveries, executing DRS (Direct Registration System) transfers, and ensuring all securities-related inquiries are addressed promptly and professionally. What you are good at: Attention to Detail: Ensures accuracy and thoroughness in all securities processing functions. Accountability: Takes ownership of tasks, deadlines, and quality of work. Client Focus: Provides outstanding service to internal partners and branches. Teamwork & Collaboration: Works effectively with team members to ensure operational consistency. Process Orientation: Follows established procedures while identifying areas for enhancement. Critical Thinking: Analyzes issues, identifies root causes, and implements solutions.

Requirements

At least 1–2 years of industry-related experience, preferably in securities operations, transfers, or processing.
Series 99 and SIE required within 120 days of employment
Self-directed with strong organizational skills and the ability to prioritize multiple tasks.
Adaptability and ability to work effectively in a changing environment.
Strong problem-solving skills with a proactive approach to issue resolution.
Ability to identify and recommend process improvements.
Proficiency with Microsoft Office applications and ability to learn new systems quickly.
Strong written, verbal, and interpersonal communication skills.
Ability to demonstrate Janney values and maintain high standards of client service.

Responsibilities

Process physical security certificates, including receipt, verification, proper endorsement review, submission to transfer agents, and timely follow-up.
Handle Free Deliveries, ensuring accurate instructions, proper approvals, and timely settlement.
Execute Direct Registration System (DRS) transfers, including initiation, monitoring, and reconciling transfer outcomes.
Monitor and respond to all securities-related inquiries from branches and internal teams in a professional and timely manner.
Support posting of proceeds from transfer agents, corporate actions, and other securities-related transactions.
Maintain accurate records related to physical securities, deliveries, and transfers in accordance with firm procedures and regulatory requirements.
Identify opportunities for process improvements and contribute to workflow enhancement initiatives.
Provide project coordination or task-driven support to the Department as needed.
Crosstrain with other Associates and Senior Associates to ensure adequate coverage for critical functions.
Participate in assigned projects and department initiatives.