Manager, Securities Transfer

AST Trust Company (Canada) - Toronto, ON (30+ days ago)

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About AST

AST Trust Company (Canada) is a full-service, tech-enabled professional services firm that helps companies and security holders across North America maintain momentum through the use of secure corporate data, analytics, advisory services, and a strategic approach to every interaction.

AST and its affiliates and divisions, including D.F. King Canada, are dedicated to supporting clients throughout their organization’s evolution. From IPOs to specialized transactions, activist investors to M&A support, we help companies streamline operations and increase efficiencies. We lead the industry with a comprehensive portfolio that includes transfer agent and registrar services, corporate governance, proxy and ownership services, equity plan solutions, corporate trust and structured financial services.

What we offer you

  • We offer competitive wages and benefits including:
  • Competitive salary
  • Enhanced medical and dental coverage for employees and their dependents
  • Health care spending account
  • Short and long term disability benefits
  • Life insurance and AD&D
  • Employee and Family Assistance Program
  • RRSP program with employer match
  • Paid sick days

AST is an equal opportunity employer and welcomes applications from all interested parties. Reasonable accommodation may be made to enable individuals with disabilities to partake in the recruitment process.

About the role – Manager, Securities Transfer

To manage staff in the performance of various tasks related to the transfer of securities and the maintenance of security holder records, ensuring that work is performed accurately within specified time-frames and in accordance with policies, procedures and regulatory requirements.


  • Provide leadership, technical advice and support to staff; maintain good morale and foster teamwork within area.
  • Maintain overall responsibility for the day-to-day functioning of the area, ensuring client expectations are met.
  • Develop, implement and monitor service/performance standards, internal controls, procedures, and policies.
  • Liaise with internal and external stakeholders to resolve issues and address client/security holder concerns.
  • Consult with and provide technical guidance to external industry groups, such as, brokers, depositories, banks, and issuers.
  • Ensure security procedures and controls are adhered to by staff.
  • Complete performance reviews for direct reports in accordance with Company policy.
  • Oversee the recruitment of new staff, ensure that appropriate training, and cross training are made available.
  • Participate in budget planning and ensure that the area operates within budget. Ensure fees/expenses are communicated to Billing in a timely manner.
  • Provide statistical reports and update management with regard to any problems/potential problems.
  • Take an active role in identifying, monitoring, managing and reporting on risk within the business unit and fulfilling the requirements of the DRO mandate.
  • Responsible for assessing business unit compliance with applicable regulatory requirements and fulfilling the requirements of the DCO mandate.
  • Ensure compliance with policies, procedures and regulatory requirements.
  • Other duties and responsibilities as assigned.

Role requirements

  • College diploma or university degree, or equivalent experience.
  • 5 to 7 years of experience in a similar role.
  • Financial services industry experience required.
  • Canadian Securities Course, an asset.
  • Excellent communication skills.
  • Develops and maintains strong relationships with internal and external clients. Proven ability to understand clients’ needs and develop the appropriate solutions.
  • Strong decision-making and problem solving skills.
  • Effectively and efficiently guides group efforts. Excellent mentoring and coaching skills.
  • Proven supervisory and people management skills.
  • Works well in a team environment, actively contributes to the success of the group.
  • Poised, works well under pressure and accomplishing short- and long-term deadlines with a heavy workload.

If this sounds like you, then AST encourages you to apply. Please send your resume and cover letter as one document in your application.

Job Type: Full-time


  • financial services industry: 4 years (Required)
  • people management: 3 years (Required)
  • operations management: 4 years (Required)