Lead Account Services Specialist
3 weeks ago
SUMMARY
The Lead Account Services Specialist is responsible for providing various transfer agency functions and maintaining accurate records for mutual fund and alternative investment clients. This position will require direct interaction with clients, financial representatives, vendors, and team members.
KEY ACCOUNTABILITIES
NEW ACCOUNT SETUP
- Establishes Escheatment State accounts.
- Participates in client services phone calls; provides overview of and answers to the on-boarding of new funds.
- Learns and processes the Keane uncashed file.
- Handles complex Required Minimum Distribution (RMD) and Simple IRA annual mailings ensuring adherence to IRS guidelines.
- Coordinates Escheatment money movement with Control.
- Coordinates Escheatment paperwork (prints, organizes, reviews, obtains signature, notarizes, scans, and mails.)
- Completes quality control review on all adjustment, removal of excess and recharacterization workflow activities.
- Processes second and third returned mail, fund closures, Escheatment transfers, uncashed checks (creates letters and requests cleared checks,) AIP/SWP Reject Report, and removal of excesses and recharacterizations.
- Processes adjustments to dealer and shareholder accounts involving "as-of" transactions and voids.
- Creates corrected tax forms.
- Troubleshoots and resolves issues with daily check deposit and reconciliation in a timely manner.
- Coordinates External Audit requests by providing requested documentation.
- Coordinates quarterly Disaster Recovery Testing, as needed.
- Processes FinCEN list review.
- Reviews and resolves all anti-money laundering new account discrepancies by contacting shareholders and/or financial representatives.
- Manages any Unclaimed Property; follows-up with states.
- Processes IVR and phone line billing to Corporate Accounting for previous quarter.
- Processes Offsite Storage Vendor and Keane billing and reconciliation.
- Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used.
- Reviews processing accuracy metrics.
- Researches and provides periodic training on industry topics.
- Contact as needed with clients regarding general information, resolution of issues, inquiries, or reporting requirements.
- Contact with members of team and internal teams regarding follow-up on inquiries, open workflow, etc.
EDUCATION AND EXPERIENCE
- Bachelor's degree in business administration or related field.
- 6-12 years of experience in client services or related field.
- Experience within the financial services industry.
- Series 6 or 7 license.
- Operational standards, SEC, IRS, and prospectus guidelines.
- Retirement plans, mutual fund IRS regulations, and alternative investments.
- Microsoft Office Suite.
- Adobe Acrobat.
- Leadership skills to provide a positive work environment, which encourages and expects teamwork, motivation, efficiency, and maximum utilization of staff skills.
- Gains understanding of the client's business to proactively anticipate complications.
- Aligns associates with company values and goals.
- Motivates and inspires others.
- Assesses performance of self and associates to make improvements or take corrective action.
- Plans and develops systems and procedures to improve operating quality and efficiency of department in accordance with company policies and procedures.
- Troubleshoots issues utilizing creative and critical thinking skills.
- Multitasking, analytical, and organizational skills.
- Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness.
- Demonstrates personal integrity, responsibility, and accountability.
- Effectively uses resources such as time and information in conjunction with associates.
- Participates in solving problems and making decisions.
- Presents and expresses ideas and information, written and oral, clearly, and concisely.
- Actively listens to others to achieve understanding and supports an open exchange of ideas and information.
- Identifies needs, arranges for, and obtains resources to accomplish individual and department goals.
- Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations.
- Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion.
Equivalent KSA's, education, and experience will be considered.
Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant's or employee's race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.
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