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About the job

Proxy Operations & Compliance Manager

Boston, MA | Hybrid Schedule

Key Responsibilities

Oversee the end-to-end proxy voting process across domestic and international equity holdings, ensuring accurate and timely vote execution.

Manage proxy event monitoring, ballot distribution, vote instruction processing, and submission deadlines.

Oversee ballot reconciliation, entitlement verification, and resolution of voting discrepancies and operational exceptions.

Manage relationships with third-party proxy service providers, including ISS and Broadridge, as well as global custodians and other operational partners.

Lead and develop a team of proxy operations professionals, promoting accountability and operational excellence.

Maintain operational controls, policies, procedures, and documentation related to proxy voting and regulatory compliance.

Oversee preparation, validation, and filing of SEC Form N-PX.

Support regulatory examinations, internal audits, and client due diligence requests.

Coordinate proxy voting operations for complex international markets, including share-blocking requirements, re-registration, and power-of-attorney requirements.

Lead operational implementation for new fund launches, including account setup, system configuration, testing, and process development.

Identify opportunities to improve operational efficiency, automation, scalability, and risk management.

Qualifications

Bachelor's degree in Finance, Accounting, Business Administration, Economics, or a related field.

8+ years of experience in proxy voting operations, investment operations, custody operations, stewardship operations, or a related asset management function.

Strong understanding of proxy voting workflows within an asset manager, registered investment adviser, or institutional investment organization.

Experience supporting mutual funds, ETFs, collective investment trusts, or institutional separate accounts.

If interested, please reach out to jalercio@kbwfinancial.com

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KBW789