Operations Assistant

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Sprott is a global leader in precious metal and energy transition investments. We are specialists. Our in-depth knowledge, experience and relationships separate us from the generalists. Our investment strategies include Exchange Listed Products, Managed Equities and Private Strategies. Sprott has offices in Toronto, New York, Connecticut and Carlsbad and the company's common shares are listed on the New York Stock Exchange and the Toronto Stock Exchange under the symbol (SII). For more information, please visit www.sprott.com.

Sprott USA

Sprott USA, a division of the Sprott Group of Companies, provides US and international investors with a full range of precious metals and real assets investment options, including separately managed accounts and private placements.

Position Description

The incumbent in this position will provide daily support in the Cashiering, Restricted Securities and Private Placement Departments and will also serve as a backup. The Operations Assistant will work in close concert with other departments and our clearing firm, RBC Capital Markets LLC. This is an entry-level position in terms of finance industry experience, however the ideal candidate will have a strong administrative background.

Position Responsibilities

• Close cooperation with Operation and Sales teams;

• Preparing and sending appropriate paperwork to clients;

• Logging received information and preparing summaries for the financial advisors;

• Monitoring restricted positions on a daily basis and preparing required documentation for our custodian;

• Receiving and analyzing daily sheets from our custodian and coordinating with others internally to ensure proper coding;

• Liaise with issuer and outside legal counsel, when necessary;

• Process trades and settlement for placement;

• Reallocate interest as needed based on broker production;

• Determine timeline of placement and populate placement calendar;

• Provide the sales team with subscription agreements (US and non-US) to send to clients;

• Ensure all subscribers are accredited and determine if proof of accreditation is required;

• Complete required due diligence;

• Maintain control sheet and send to issuer along with signed subscription agreements;

• Ensure subscriber's account registration corresponds with Security Transfer Association registration guidelines;

• Complete the necessary forms for RBC;

• Other duties as assigned; and

• Cashiering duties:

• Processing payouts

• Performing necessary due diligence on outgoing wires

• Electronically scanning all incoming checks via US Bank into clients' accounts

• Posting all cashiering transactions into appropriate blotters

• Processing all incoming and outgoing account transfers

• Processing stock certificates and/or warrants and preparing blotters for internal use and RBC

Experience

• Experience with Microsoft Office suite - especially Microsoft Excel and Word;

• Superior communication skills, both written and verbal;

• Great attention to detail;

• Knowledge of DocuSign preferred;

• Bachelors or Associates Degree preferred;

• Strong administrative experience;

• Demonstrated attention to detail; and

• Finance industry experience is a plus, but not required

To apply for this position, please include a resume and cover letter with your submission. We thank all applicants for their interest; however, only qualified candidates as determined by Sprott will be contacted. Sprott does not accept unsolicited agency resumes or phone calls.

Sprott welcomes and encourages applications from people with disabilities. Please let us know if we can provide accommodations to support your participation in Sprott's recruitment process.

Sprott Global Resource Investments Ltd. and Sprott Asset Management USA, Inc. are Equal Opportunity Employers.