Information Officer
Own how information moves at EST: shareholder and issuer data across our systems and the Street’s, turned into insight, communication, and better decisions. A builder’s role for someone fluent in both data and AI, who sees a register and thinks about everything it could tell us.
What the role involves.
A transfer agent sits on some of the most consequential data in the market: who owns what, as of when, on the official record. That data lives across our shareholder recordkeeping platforms internally and connects outward to payment systems, DTCC rails (DWAC, DRS, FAST), broker-dealer systems, and issuer tools. Today that information does its job; this role exists to make it work harder.
The Information Officer owns EST’s information layer end to end: how data is organized, governed, connected, and understood across every stack we touch; how it becomes meaningful insight for our team and our issuers; and how it reaches shareholders and issuers as clear, well-planned communication. We expect this person to be genuinely fluent in modern AI frameworks — not as a buzzword but as a working method — and to think past how transfer agents have always used information toward what a data-native agent can do with it.
The EST hiring bar.
Every EST hire, in every seat, meets three tests: exceptional technical ability, a deep command of the compliance obligations of their area of expertise, and fluency with modern tools, including AI, applied with the judgment regulated shareholder data demands. We are a small firm doing consequential work; the bar does not flex.
Responsibilities.
- Map, organize, and manage shareholder and issuer data across internal recordkeeping and portal platforms and external systems: payment processors, DTC API interfaces (DWAC and DRS, and related systems where applicable), and broker-dealer connections.
- Build the reporting and insight layer: issuer-facing analytics (register composition, DRS versus street-name trends, transfer activity), internal operational dashboards, and ad hoc analyses that answer real questions.
- Design and run communication strategies to shareholders and issuers: what we send, when, through which channel, and how we know it worked; own the calendar and the measurement.
- Manage the content and media toolchain: content management systems, media channels, email and notification platforms, and the database software underneath them.
- Establish information governance worthy of the data: classification, retention alignment with SEC recordkeeping rules, and safeguarding consistent with Regulation S-P, working with our IT and Data Security lead.
- Evaluate, deploy, and supervise AI frameworks and workflows across these tasks: analysis, reporting, drafting, classification, and automation, with the judgment to know what regulated shareholder data can and cannot touch.
- Think out of the box about information use: new data products for issuers, better self-service for shareholders, and internal tooling that makes a small team operate like a large one.
Requirements.
- Demonstrated experience working with financial or shareholder data across multiple technology stacks, and the ability to learn ours quickly: recordkeeping platforms, payment systems, DTCC-facing interfaces, and broker-dealer data formats.
- Strong practical data skills: database software and SQL, structured and unstructured data handling, API-based integration, and spreadsheet fluency for the last mile.
- A thorough, working understanding of AI frameworks and tools, including large language model workflows and automation, and a track record of applying them to real tasks efficiently and responsibly.
- Communication planning experience: you have designed multi-channel communication to defined audiences and measured the results, and you know content management tools and media channels well.
- The writing ability to make data mean something to a shareholder, an issuer CFO, and a regulator, each in their own language.
- 6+ years across data, information management, or analytics roles; securities industry experience strongly preferred; transfer agent experience a significant plus.
- Discretion. This role touches the official record and personal information; it requires someone who treats that as a duty, not a detail.
What you get.
- Health, dental, and PTO.
- A blank-slate mandate over the information layer of an SEC-registered transfer agent, with leadership that wants it built.
- Direct work with issuers, counsel, and the Street; your insights ship, they do not sit in decks.
- Office at 237 West 37th Street, New York.
Founded by a trader, not a filing.
EST was founded on the trading floor at E*TRADE Securities, and that shows up in how the register team works today — a record date is treated like a market event, not a checklist line item. You'll be part of a small, senior team out of our Manhattan office, where the person who took the shareholder's call is often the same person who fixes the ledger.
Equity Stock Transfer, LLC is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other characteristic protected by law.
Own how information moves at EST: shareholder and issuer data across our systems and the Street’s, turned into insight, communication, and better decisions. A builder’s role for someone fluent in both data and AI, who sees a register and thinks about everything it could tell us.
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