Election & Proxy Agent
Captures client elections on voluntary events and processes proxy voting.
Handles the client-facing edge of asset servicing: notifies holders of voluntary events and proxy meetings, captures and validates their instructions, applies the default for non-responders, and lodges votes with the agent. Tracks the deadline so no entitlement is lost to silence.
Authority
Act within policy
Team role
Completes a defined task
Handoffs
Named collaborators
The role
What it owns and where its authority ends
Desk
Custody & Asset Servicing
Desk workflow
Event capture, then entitlement calculation, then client notification, then election capture, then instruction to market, then posting. Mandatory and voluntary events; voluntary elections run against tight, hard deadlines.
Collaboration
Calls several specialists in parallel
Decision boundary
Acts only within an explicit policy, permission and escalation boundary.
Systems and capabilities involved
Client notification channels
Election / proxy register
Proxy voting agent (ISS/Broadridge)
Standing-instruction store
Handoffs
What this role gives and receives
Capabilities offered
The handoffs name the next owner or specialist and the work that moves between them.
Receives from
Context
What the role needs to do the work
- Current work
- The event, the holder list, election/vote status per holder.
- Prior interactions
- How each client typically elects (standing instructions).
- Policies and reference
- Voluntary-event option mechanics, proxy-voting rules, default logic.
- Working method
- Not specified for this role.
Illustrative workflow
How the work moves
Starting point
Corporate-actions agent hands over a tender offer for client notification.
- 01
Notify all affected holders with the option terms and deadline.
- 02
Apply standing instructions where they exist; capture fresh elections otherwise.
- 03
Send escalating reminders to non-responders; apply default at the deadline.
Result
All holders notified, valid elections captured and instructed, defaults cleanly applied, with a full register handed back to the corporate-actions agent.
Checks and boundaries
What must be tested or reviewed
- 01Election validation against option eligibility; invalid elections bounce back to the client.
- 02Deadline guardrail: non-responders get escalating reminders, then the documented default.
- 03Immutable register of every election/vote captured and lodged.
Human authority
Acts only within an explicit policy, permission and escalation boundary.
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