Corporate Actions Associate Director (Mandatory)

DTCC · Tampa

Are you ready to make an impact at DTCC?
Do you want to work on innovative projects, collaborate with a dynamic and supportive team, and receive investment in your professional development? At DTCC, we are at the forefront of innovation in the financial markets. We are committed to helping our employees grow and succeed. We believe that you have the skills and drive to make a real impact. We foster a thriving internal community and are committed to creating a workplace that looks like the world that we serve.

Pay and Benefits:

Competitive compensation, including base pay and annual incentive
Comprehensive health and life insurance and well-being benefits, based on location
Pension / Retirement benefits
Paid Time Off and Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being.
DTCC offers a flexible/hybrid model of 3 days onsite and 2 days remote (onsite Tuesdays, Wednesdays and a third day unique to each team or employee).

The Impact you will have in this role:

As a member of the Enterprise Business Operations Corporate Actions team, the Associate Director will lead the accurate, timely, and controlled processing of Corporate Actions events with a primary focus on Mandatory Reorganizations for DTC-eligible securities. This includes mergers, reverse stock splits, name changes, bankruptcies, mandatory exchanges, and other complex securities lifecycle events.

This leader will drive operational excellence, risk management, control effectiveness, client service, process improvement, and talent development while overseeing critical event processing activities. The role will leverage data, automation, and emerging technologies to improve operational resilience, reduce risk, and enhance the client experience. The Associate Director will partner closely with internal and external stakeholders to ensure successful execution of Corporate Actions services and strategic initiatives.

Your Primary Responsibilities

Manage the accurate and timely processing of Corporate Actions events, including Mandatory Reorganizations such as mergers, reverse stock splits, bankruptcies, mandatory exchanges, name changes, and related securities lifecycle events.
Drive achievement of departmental KPIs and service commitments, including processing timeliness, announcement accuracy, exception aging, entitlement allocation, client inquiry response, control execution, and operational quality.
Monitor high-risk and high-value events, critical deadlines, aged exceptions, position discrepancies, agent funding or delivery issues, and other operational exposures. Ensure timely escalation, ownership, and resolution.
Make well-informed, effective, and timely decisions using operational data, trend analysis, and subject-matter expertise while considering client, financial, regulatory, and operational impacts.
Strengthen accountability for measurable, high-quality results by establishing clear ownership, monitoring performance against defined targets, and implementing sustainable corrective actions.
Use data and root-cause analysis to identify recurring exceptions, processing errors, manual touchpoints, capacity constraints, and control weaknesses. Implement improvements that reduce risk and improve efficiency.
Oversee the completeness, accuracy, and timeliness of event announcements, entitlement processing, securities and cash movements, agent communications, position adjustments, and associated reporting throughout the event lifecycle.
Review and enhance the control environment by assessing control effectiveness, evaluating trends, challenging recurring issues, and ensuring audit, compliance, and risk-management actions are completed on time.
Build and maintain strong relationships with clients, issuers, agents, custodians, brokers, technology partners, and internal stakeholders to accelerate issue resolution, improve responsiveness, and strengthen event processing.
Oversee departmental projects and initiatives involving process redesign, control enhancements, automation, system implementations, operational readiness activities, and changes to Corporate Actions services.
Oversee performance management by setting clear expectations, coaching team members, evaluating talent, providing constructive feedback, and addressing performance or capability gaps promptly.

**NOTE: The Primary Responsibilities of this role are not limited to the details above. **

Qualifications:

Minimum 8 years of experience in Corporate Actions, Asset Servicing, Securities Operations, Custody Operations, Capital Markets Operations, Wealth Operations, Brokerage Operations, or related financial services environments, including at least 3 years of people leadership experience.
Demonstrated experience leading operational teams responsible for Corporate Actions, securities servicing, event management, entitlement processing, settlements, asset servicing, or related operational functions.
Experience managing operational risk, controls, escalations, service-level commitments, and performance metrics.
Proven ability to lead teams, drive operational excellence, and influence outcomes across multiple stakeholder groups.
Bachelor's degree (preferred) or equivalent experience

Preferred Qualifications

Direct experience managing or leading Mandatory Reorganizations, Corporate Actions, Asset Servicing, Securities Event Management, Entitlements, or Depository Operations.
Knowledge of mergers, bankruptcies, exchanges, stock splits, name changes, and other securities processing events as well as proxy and issuer services
Experience working within depository, custody, clearing, broker-dealer, or securities servicing environments.
Experience leading automation, operational excellence, or business transformation initiatives.

Talents Needed for Success:

Highlight the expected benefits of new actions and strategies to help others understand and adapt to change
Foster a culture in which honesty and transparency are expected
Proactively seek feedback from others regarding personal performance and leadership effectiveness
Ensure regular feedback is constructive, specific, and behaviorally focused
Support an inclusive environment in which individuals are respected and recognized for their contributions
Demonstrate data fluency and the practical use of AI-enabled productivity tools to synthesize information, generate insights, and improve execution quality

We offer top class training and development for you to be an asset in our organization!

The salary range is indicative for roles at the same level within DTCC across all US locations. Actual salary is determined based on the role, location, individual experience, skills, and other considerations. We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

With over 50 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry. From 20 locations around the world, DTCC, through its subsidiaries, automates, centralizes, and standardizes the processing of financial transactions, mitigating risk, increasing transparency, enhancing performance and driving efficiency for thousands of broker/dealers, custodian banks and asset managers. Industry owned and governed, the firm innovates purposefully, simplifying the complexities of clearing, settlement, asset servicing, transaction processing, trade reporting and data services across asset classes, bringing enhanced resilience and soundness to existing financial markets while advancing the digital asset ecosystem. In 2024, DTCC’s subsidiaries processed securities transactions valued at U.S. $3.7 quadrillion and its depository subsidiary provided custody and asset servicing for securities issues from over 150 countries and territories valued at U.S. $99 trillion. DTCC’s Global Trade Repository service, through locally registered, licensed, or approved trade repositories, processes more than 25 billion messages annually. To learn more, please visit us at www.dtcc.com or connect with us on LinkedIn, X, YouTube, Facebook and Instagram.

DTCC proudly supports Flexible Work Arrangements favoring openness and gives people freedom to do their jobs well, by encouraging diverse opinions and emphasizing teamwork. When you join our team, you’ll have an opportunity to make meaningful contributions at a company that is recognized as a thought leader in both the financial services and technology industries. A DTCC career is more than a good way to earn a living. It’s the chance to make a difference at a company that’s truly one of a kind.

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As a member of the Enterprise Business Operations Corporate Actions team, the Associate Director will lead the accurate, timely, and controlled processing of Mandatory Reorganization events for DTC-eligible securities, including mergers, reverse stock splits, name changes, bankruptcies, mandatory exchanges, and other events that do not require an investor election. This leader will drive operational, risk, control, client service, automation, and talent-development objectives while overseeing complex events and escalations. The role will use data and emerging technologies to improve execution and operational resilience and will collaborate with internal and external stakeholders to reduce risk and enhance the client experience.

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