RM associate/Principle Process Executive

Management Level

H

JOB TITLE:

RM Associate

REPORTS TO:

Site Director

FUNCTION:

EQ US - Issuer & Investor Services (EQi)

DATE:

October 2024

JOB SUMMARY (what s your elevator speech for the value this role provides)

The RM Associate role is an entry level role within Issuer and Investor Services. The primary purpose of the role is to assist Relationship Managers with non-customer-facing tasks in service of client (issuer) requests. Tasks such as setting up dividends, researching items in various EQ systems, setting up proxy ship out memos, coordinate with share proof, review Excel file, and approve release of the dividend file. Also remove lockup legends, generate duplicate statements for clients. Additional tasks include researching, data entry and maintenance of tax information required for the return of capital. Will also distribute and collect authorized signer and authorized wire initiators/requestors with issuers via email, and record the records in the system. Familiarity with Unity system and some basic workflow processing components of Sirius is required. Will also likely access additional systems or applications including accounts receivable/Workday. Process lockup legend removals. Generate repeatable reports for issuers on a regular cadence and ad hoc as requested from Sirius and user portals.

ESSENTIAL FUNCTIONS

(4-6 specific functions)

PERCENT (%)

(typically > 20%)

Enable client satisfaction and retention through prompt, thorough and accurate response and resolution to client issues and inquiries.

55%

Ensure regulatory compliance within client portfolios through the distribution and return receipt of required government forms, documents and authorizations.

10%

Expand revenue opportunities through taking rote administrative tasks from RMs to do freeing them to upsell and crossell.

20%

Record all work in systems for quick retrieval and use by many other functional groups through learning client portfolios, building internal and external relationships and mentoring with an experienced Relationship Manager.

15%

SCOPE OF JOB (budgetary, resource control, scope, and complexity of function)

RM Associate will be aligned with a team of Relationship Managers once fully onboarded. Each Relationship Manager s assigned client portfolio will vary in terms of the number and types of clients in the portfolio as well as revenue size. Client portfolios are tiered based on a variety of factors, including client market cap, current revenue volume to EQ, future potential revenue volume, and the number of shareholders served. Will need to be able to interpret requests from RMs and their RD managers and communicate back in a collaborative and timely manner. Will take direction from the U.S.-based Relationship Directors and RMs, but will be managed in day to day tasks and administratively by local Site Director.

KEY CRITERIA

Essential or Desirable

(E or D)

CONTEXT

(how will this be used in the job)

Qualifications and Experience

Demonstrated ability to learn and use new technology systems to access information.

E

Knowledge

Microsoft office suite with an emphasis on Outlook and Excel for daily tasks and Word and

Sirius

Workday

Unity (Salesforce)

E

D

E

E

All aspects of the role leverage this software suite. Its common in any college or workplace environment.

Skills & Abilities

Analytical Ability

Prioritization and time management

Attention to detail and accuracy

Communication skill

E

E

E

D

Interpret requests and think in self-directed way best way to handle the request.

Used in all aspects of the job. Basics should be possessed upon entry into the role and honed to our environment over time.

Carefully review documentation with requests for compliance to EQ policies. Document all activity in Unity and other systems.

Basics of this should be possessed upon entry into the role. However, molding it to fit our RM and RD clients internally, and limited written interaction with issuer clients. Includes good written correspondence with team in the U.S.

Other Job-Related Requirements

Essential Criterion = required at point of recruitment Desirable Criterion = can be developed over time

FOR HUMAN RESOURCES USE ONLY

FLSA

JOB LEVEL

APPROVED BY

EEO CATEGORY

JOB CODE

DATE

We are committed to equality of opportunity for all staff and applications from individuals are encouraged regardless of age, disability, sex, gender reassignment, sexual orientation, pregnancy and maternity, race, religion or belief and marriage and civil partnerships. Please note any offer of employment is subject to satisfactory pre-employment screening checks.