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Shareholder Services Specialist I
2 weeks ago
The Shareholder Services Specialist I is responsible for providing various contact center and transfer agency functions. This position requires mutual fund knowledge and will interact directly with shareholders, financial representatives, team members and management.
Key AccountabilitiesShareholder and Financial Representative Support
- Answers questions regarding existing mutual funds serviced. Knowledge obtained from mutual fund websites, fund literature, or performance reports and regulatory documents will be utilized to answer questions.
- Answers questions regarding existing mutual fund shareholder accounts. Knowledge obtained from the transfer agent recordkeeping system will be utilized to answer questions.
- Answers incoming call interactions.
- Answers incoming email and chat interactions.
- Inputs basic trades into the recordkeeping system.
- Maintains and updates accounts in the recordkeeping system.
Compliance and Support Activities
- Learns and utilizes compliance procedures, desk policies, and legal requirements, state specific forms and documents, voice communication platform, and transfer agent recordkeeping and workflow system.
Working Relationships
- Daily contact with shareholders, financial representatives, and broker-dealer firms.
- Daily contact with internal teams and departments regarding follow-up inquiries, open workflows, etc.
May perform other duties as required and assigned.
Education and Experience- Undergraduate degree in business administration, finance, or related area.
- Series 6 or 7 license or ability to obtain within 3 months of employment.
- 1-3 years of experience in client services or related field.
- Experience within a back-office or retirement services department, clearing firm, brokerage firm, mutual fund department, or within the financial services industry.
Knowledge
- Mutual funds and retirement plans.
- Microsoft Office Suite.
- Adobe Acrobat.
Skills and Abilities
- Provides excellent customer service skills using proper phone etiquette.
- Comprehends, retains, and explains services, company policies, and legal requirements to shareholders and financial representatives.
- 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 education, experience, and KSAs will be considered.
Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicants or employees 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.
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